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Rocky Mountain Securities Conference

05/10/2013

Investment Management

Denver Marriott City Center
1701 California Street
Denver, CO 80202

Kelley A. Howes

Speaking Engagement

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

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