Denver, CO (PRWEB) April 10, 2014
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!
CONFERENCE INFORMATION:
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.