Enforcement Issues, Dealing with Whistleblowers, Crowdfunding, the JOBS Act, and Corporate Governance will Highlight the 2014 Rocky Mountain Securities Conference

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The Annual Rocky Mountain Securities Conference, now in its 46th year, is a unique opportunity to hear from regional and national Securities and Exchange Commission (SEC) Directors on hot topics and issues affecting business law practitioners.

This year the conference will feature presentations from:

  • Andrew Bowden, Director, Office of Compliance Inspections & Examinations, SEC, Washington, DC
  • James Doty, Chairman, Public Company Accounting Oversight Board, Washington, DC
  • Julie Lutz, Regional Director, SEC
  • Hon. Daniel Gallagher, Commissioner, SEC, Washington DC
  • Hon. Marcia Krieger, Chief United States District Judge, District of Colorado
  • Shelley Parratt, Deputy Director, Division of Corporation Finance, SEC, Washington, DC
  • Gerald Rome, Acting Commissioner, Colorado Division of Securities, Denver, CO
  • John Walsh, US Attorney, District of Colorado

... and top securities lawyers from Colorado and around the nation!

43nd Annual Rocky Mountain Securities Conference
May 9, 2014, 8 a.m. – 5 p.m. - Grand Hyatt Denver
Co-sponsored by the Securities and Exchange Commission and the
Business Law Section of the Colorado Bar Association

Specific topics for the conference include:

  • Current Enforcement Trends and Priorities
  • Current Issues Confronting Boards of Directors
  • Dealing with Whistleblowers
  • Ethical Issues in SEC Investigations and Litigation
  • FINRA's Examination Role for Crowdfunding Portals
  • Enforcement Techniques For Insider Trading Matters
  • Overseeing an Effective Compliance Program
  • SEC's Current Enforcement Approach to the JOBS Act

To access the complete agenda please click here

CLE in Colorado, Inc. (Colorado Bar Association CLE [CBA-CLE]) is the nonprofit education arm of the Colorado Bar Association and the Denver Bar Association. We produce high-quality continuing legal education programs and legal publications for attorneys and legal professionals in Colorado and the Rocky Mountain Region.

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Mary Dilworth
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