Speaking Engagement

A Conversation with the Staff of the SEC Denver Regional Office

11 Oct 2018 04:00 p.m. - 07:00 p.m.

Sturm College of Law, University of Denver (Faculty Library, 4th Floor)
2255 E. Evans Ave.
Denver, CO 80210

This special program is in partnership with DU Law School, including speakers Tom Piccone, Associate Regional Director of the SEC Denver Regional Office and Michael Birnbaum, partner at Morrison & Foerster LLP.

Topics of discussion will include:

  • The SEC’s Examination Program in 2018 and 2019
  • Examination Program Priorities and Focus Areas
  • Effective Practices for SEC Registrants




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