What to Do When the SEC Comes Knocking? Out of Stock
Co-Sponsored by the CBA Business Law Section and Securities Subsection
Quantity
November 2013
Financial Institutions Subsection CLE Luncheon Series
What to Do When the SEC Comes Knocking?
Co-sponsored by the CBA Business Law Section and Securities Subsection
Program Description:
Get an overview of the Security and Exchange Commission's (SEC) enforcement and examination programs, particularly as they pertain to financial crisis cases. Learn about individual and company cooperation tools. Get up-to-speed on whistleblowing. Be ready when the SEC comes knocking!
Don't Forget: The Financial Institutions Luncheon Series is also available via live Internet webcast, direct to your desktop!
Presented by Leslie J. Hughes, Trial Counsel, Securities and Exchange Commission
Program Series Co-Chairs
G. Brent Coan, Esq.
Otis, Coan & Peters, LLC
Fort Collins, CO
Steve Suneson, Esq.
Kavinoky Cook, LLP
Buffalo, NY
Faculty
Leslie J. Hughes, Trial Counsel
Securities and Exchange Commission
Denver, CO
Securities and Exchange Commission
Denver, CO
Leslie J. Hughes is currently Trial Counsel for the Denver Regional Office of the Securities and Exchange Commission (SEC). Ms. Hughes has worked for the SEC for over 20 years. Her prior experience includes private practice and clerking for the Honorable Wade Brorby on the Tenth Circuit Court of Appeals. She is a 1985 graduate of the University of Denver Law School.
Agenda:
11:30 AM - 12:00 PM
Registration
12:00 PM
What to Do When the SEC Comes Knocking?
- Financial Crisis Cases
- Overview of SEC Enforcement and Examination Programs
- Individual Cooperation Tools
- Company Cooperation Tools
- Whistleblowers
- And More!
1:00 PM
Adjourn
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $59.00 USD
- Member Price $39.00 USD
- General Credits 1.00
- Ethics Credits
- EDI Credits