Program Highlights:
The Rocky Mountain Region's PREMIER securities conference presented by many of the country's most knowledgeable securities practitioners!
Topics include:
- Enforcement
- The Defense Perspective
- Regulated Entities
- Current Issues in Corporation Governance
- Accounting and Auditing Standards and Regulations
- Current Issues in Corporation Finance
- Emerging Growth Company Financing, Reg D General Solicitation and Crowd Funding
- Ethics
Agenda:
7:00 am
Registration
7:50 am
Welcoming Remarks
- Donald Hoerl, Program Chair, Regional Director, Denver Regional Office, Securities and Exchange Commission
- Gary Abrams, Executive Director, Colorado Bar Association CLE
8:00 am
SEC Enforcement Panel
- John Walsh, US Attorney, District of Colorado
- George Canellos, Acting Director, Division of Enforcement, Securities and Exchange Commission
- Julie Lutz, Securities and Exchange Commission
Moderated by Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
8:55 am
Defense Perspective
Panelists:
- Daniel F. Shea, Hogan Lovells LLP, Former Regional Director, Securities and Exchange Commission
- Andrew Shoemaker, Shoemaker Ghiselli & Schwartz, LLC
- Linda Thomsen, Davis Polk & Wardell LLP
Moderated by George Curtis, Gibson, Dunn & Crutcher, LLP, Former Regional Director Securities and Exchange Commission
9:50 am
Networking Break
10:05 am
Regulated Entities Panel Presentation
Panelists:
- Carlo di Florio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Katherine Addleman, Haynes and Boone LLP
- Mary E. Keefe, Managing Director, Director of Compliance, Nuveen Investments, Inc.
Moderated by Kevin Goodman, Associate Regional Director - Regulation, Securities and Exchange Commission
11:00 am
Current Issues in Corporation Governance
Panelists:
- John Olson, Gibson, Dunn & Crutcher, LLP
- Annita Menogan, Senior Vice President, Red Robin Gourmet Burgers Inc
Moderated by Cathy Krendl, Krendl Krendl Sachnoff & Way
11:55 am
Lunch Presentation (12:20 - 1:10)
Commissioner Daniel Gallagher, Securities and Exchange Commission
1:15 pm
Does Good Audit Make for Good Corporate Governance?
Panelists:
- James Doty, Public Company Accounting Oversight Board
- Richard Breeden, Founder & Chairman, Breeden Capital Management LLC; Former Chairman, Securities and Exchange Commission
- Charles Senatore, Head of Compliance and Ethics, Fidelity Investments
Moderated by Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
2:10 pm
Current Issues in Corporation Finance
Panelists:
- Shelley Parratt, Deputy Director, Division of Corporation Finance, Securities and Exchange Commission
- Brian Breheny, Skadden, Arps, Slate, Meagher & Flom LLP
- Jeffrey Kesselman, Sherman & Howard LLC
Moderated by John Olson, Gibson, Dunn & Crutcher, LLP
3:05 pm
Networking Break
3:20 pm
Ethical Issues in Securities Practice
- Holly Sollod, Holland & Hart LLP
- John McDermott, Brownstein Hyatt Farber Schreck LLP
- Kelley Howes, Morrison & Foerster LLP
Moderated by Randall Fons, Morrison & Foerster LLP, Former Regional Director, Securities and Exchange Commission
4:15 pm
JOBS Act - Emerging Growth Company Financing, Reg D General Solicitation and Crowd Funding
Panelists:
- Shelley Parratt, Deputy Director, Division of Corporation Finance, Securities and Exchange Commission
- Professor Jay Brown,Professor of Law, University of Denver, Sturm College of Law
Moderated by Reid Godbolt, Jones & Keller, PC
5:05 pm
Adjourn
Credits:
General credits: 10.00
Ethics credits: 1.00