42nd Annual Rocky Mountain Securities Conference Out of Stock
Quantity
May 2010
42nd Annual Rocky Mountain Securities Conference
Program Description
The 2010 Conference brings you SEC and regional enforcement authorities discussing national developments; corporate governance issues; best defense practices in this volatile time of changing market conditions, and much, much more!
The 42nd Annual Rocky Mountain Securities Conference provides a line up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.
Topics
Introduction of Commissioner Elisse Walter
Donald M. Hoerl, Regional Director, Denver Regional Office
Securities and Exchange Commission
Keynote Presentation: The SEC and the Future of The Markets and Investor Protection
Presented by:
Commissioner Elisse B. Walter, Securities and Exchange Commission
Response by:
Professor Jay Brown, Professor of Law, University of Denver, Sturm College of Law
Enforcement: A New Structure to Match a New Strategy?
Panel:
- Lorin L. Reisner, Deputy Director, Division of Enforcement, Securities and Exchange Commission
- Stephen Luparello, Vice Chairman, FINRA
- Fred Joseph, Commissioner, Colorado Division of Securities
- Julie Lutz, Associate Regional Director, Enforcement, Denver Regional Office, Securities and Exchange Commission
Moderated by:
- Donald M. Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
What are Respondents and Their Counsel to Do? Best Defense Practices in a Challenging Enforcement Environment
Panel:
- Daniel F. Shea, Hogan & Hartson, LLP
- Randall Fons, Morrison & Foerster, LLP
- David A. Zisser, Davis Graham & Stubbs, LLP
Moderated by:
- George B. Curtis, Gibson, Dunn & Crutcher, LLP
Auditors and Accountants in an Age of Systemic Risk: Current and Future Challenges
Panel:
- Charles D. Niemeier, Board Member, Public Company Accounting Oversight Board
- Paul Beswick, Deputy Chief Accountant, Office of the Chief Accountant, Securities and Exchange Commission
- Dennis Horner, Deloitte National Professional Practice Director, Deloitte & Touche LLP
Moderated by:
- Lynn E. Turner, Board Member, Colorado Public Employees Retirement Association, and former Chief Accountant of the SEC
Mutual Funds, Broker Dealers and Investment Advisers: Risks and Approaches to a Changing Market Place
Panel:
- Carlo di Florio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- John McDermott, Browstein Hyatt Farber Schreck LLP
- Steven W. Stone, Morgan, Lewis & Bockius LLP
Moderated by:
- Kevin W. Goodman, Associate Regional Director, Regulation, Securities and Exchange Commission
Swimming in Unchartered Waters: Ethics and the Life of the Lawyer in the Current Markets
Presented by:
- Harvey Pitt, Former SEC Chairman, CEO, Kalorama Partners LLC
Introduction of Former Chairman Pitt
- Robert Davenport, Jones & Keller, PC, Of Counsel, Former Regional Director,Securities and Exchange Commission
Corporate Finance, Shareholder Democracy, Naked Trading, Proxy Access, and Other Simple Issues
Panel:
- Shelley Parratt, Deputy Director, Division of Corporation Finance, Security and Exchange Commission
- Scott A. Berdan, Holland & Hart LLP
- Jeffrey A. Sherman, Holland & Hart LLP
Moderated by:
- Reid A. Godbolt, Jones & Keller P.C.
What's a Board to Do? Practical Steps Toward Maintaining Business, Management and Sanity
Panel:
- Cathy S. Krendl, Krendl Krendl Sachnoff & Way, P.C.
- Josiah O. Hatch, Ducker, Montgomery, Aronstein & Bess, P.C.
- James Doty, Baker Botts LLP, Former SEC General Counsel
Moderated by:
- John F. Olson, Gibson, Dunn & Crutcher, LLP
Who Can Think of Ethics at a Time Like This?
Panel:
- Stanley J. Sporkin, Office of Federal Housing Enterprise Oversight
- John F. Olson, Gibson, Dunn & Crutcher, LLP
- James Doty, Baker Botts LLP, Former SEC General Counsel
Financial Innovation in Distressed Markets: Approaches and Cautions
Presented by:
- Henry Hu, Director, Division of Risk, Strategy, and Financial Innovation, Securities and Exchange Commission
Response by:
- John F. Olson, Gibson, Dunn & Crutcher, LLP
- Cathy S. Krendl, Krendl Krendl Sachnoff & Way, P.C.
Planning Committee:
Donald M. Hoerl, Program Chair
Regional Director
Securities and Exchange Commission
Denver, CO
George B. Curtis
Deputy Director, Division of Enforcement
Securities and Exchange Commission
Washington, DC
Robert H. Davenport
Jones & Keller, P.C.
Of Counsel
Former Regional Director
Securities and Exchange Commission
Denver, CO
Faculty:
Scott A. Berdan
Holland & Hart, LLP
Denver, CO
Paul Beswick
Deputy Chief Accountant
Office of the Chief Accountant
Securities and Exchange Commission
Washington, DC
Professor Jay Brown
Professor of Law
University of Denver Sturm College of Law
Denver, CO
George B. Curtis
Deputy Director, Division of Enforcement
Securities and Exchange Commission
Washington, DC
Robert Davenport
Jones & Keller, PC
Of Counsel
Former Regional Director
Securities and Exchange Commission
Denver, CO
Carlo di Florio
Director, Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Washington, DC
James R. Doty
Baker Botts LLP
Washington, DC
Randall Fons
Morrison & Foerster, LLP
Former Regional Director, SEC
Denver, CO
Reid A. Godbolt
Jones & Keller, P.C.
Denver, CO
Kevin W. Goodman
Associate Regional Director - Regulation
Securities and Exchange Commission
Denver, CO
Josiah O. Hatch, III
Ducker, Montgomery, Aronstein & Bess, P.C.
Denver, CO
Donald M. Hoerl
Regional Director
Securities and Exchange Commission
Denver, CO
Dennis Horner
Deloitte National Professional Practice Director
Deloitte & Touche LLP
Dallas, TX
Henry Hu
Director - Division of Risk, Strategy, and Financial Innovation
Securities and Exchange Commission
Washington, DC
Fred Joseph
Commissioner
Colorado Division of Securities
Denver, CO
Cathy S. Krendl
Krendl Krendl Sachnoff & Way, P.C.
Denver, CO
Stephen Luparello
Vice Chairman
FINRA
Washington, DC
Julie Lutz
Associate Regional Director, Enforcement
Denver Regional Office
Securities and Exchange Commission
Denver, CO
John McDermott
Browstein Hyatt Farber Schreck LLP
Denver, CO
Charles D. Niemeier
Board Member
Public Company Accounting Oversight Board
Washington, DC
John F. Olson
Gibson, Dunn & Crutcher, LLP
Washington, DC
Shelley E. Parratt
Acting Director, Division of Corporation Finance
Securities and Exchange Commission
Washington, DC
Harvey Pitt
CEO, Kalorama Partners LLC
Washington, DC
Lorin L.Reisner
Deputy Director, Division of Enforcement
Securities and Exchange Commission
Washington, DC
Daniel F. Shea
Hogan & Hartson LLP
Denver, CO
Jeffrey A. Sherman
Faegre & Benson LLP
Denver, CO
Stanley J. Sporkin
Office of Federal Housing Enterprise Oversight
Washington, DC
Steven W. Stone
Morgan, Lewis & Bockius LLP
Washington, DC
Lynn E. Turner
Board Member
Colorado Public Employees Retirement Association
Denver, CO
Commissioner Elisse B. Walter
Securities and Exchange Commission
Washington, DC
David A. Zisser
Davis Graham & Stubbs LLP
Denver, CO
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $159.00 USD
- Member Price $129.00 USD
- General Credits
- Ethics Credits
- EDI Credits