PBI Focuses On SEC Philadelphia Regional Office

Monday, August 2, 2010 - 01:00

On Thursday, August 26, the Pennsylvania Bar Institute will cover the new rules relating to the SEC's Philadelphia Regional office at PBI's Professional Development Center, 339 Sixth Avenue in Pittsburgh. The program begins at 9:00 a.m. and ends at 1:15 p.m.

The Securities and Exchange Commission recently announced several important changes that will allow it to strengthen its investigative and enforcement efforts. The SEC's Philadelphia Regional office, which has jurisdiction over Delaware, Maryland, Pennsylvania, Virginia, West Virginia and the District of Columbia, figures prominently in these changes.

The program will examine the formation of specialized units at the SEC's Enforcement Division that will focus on market abuse and insider trading; asset management; complex derivatives and new financial products; the Foreign Corrupt Practices Act; and municipal securities and public pensions. The keynote speakers are Daniel M. Hawke, regional director, U.S. Securities and Exchange Commission, and Elaine C. Greenberg, associate regional director, U.S. Securities and Exchange Commission. They will be joined by a panel of experienced defense counsel who specialize in SEC enforcement matters, securities litigation and internal investigations. Together the faculty will address enforcement focuses and initiatives, such as what is the focus of the SEC's Market Abuse Unit and how does that unit utilize technology to uncover possible insider trading and other market manipulations.

The panelists are John C. Grugan, Ballard Spahr LLP; Amy J. Greer, Reed Smith LLP; Richard A. Levan, Richard A. Levan & Associates, PC; and Paula D. Shaffner, Stradley Ronon Stevens & Young, LLP.

For information visit CLE Events on The Metropolitan Corporate Counsel website at www.metrocorpcounsel.com.

To register for the program visit www.pbi.org.