On Friday, May 6, the Colorado Bar Association will present the 43rd Annual Rocky Mountain Securities Conference at the Marriott City Center Hotel, 1701 California Street in Denver.
An impressive lineup of speakers and topics has been planned. Using a panel discussion format, the topics to be covered include enforcement in an era of reform and budgetary constraints; FINRA's role in a rapidly changing market; and investor advocacy - a regulatory approach to capital formation and small business development. The conference begins at 8:00 a.m. with an introduction of Commissioner Troy Paredes of the Denver Regional Office of the SEC. Kevin Goodman, associate regional director of regulation for the SEC, will moderate a discussion about securities professionals in an era of enhanced regulation, with panelists Carlo diFlorio (invited), director of the Office of Compliance Inspections and Examinations, SEC, and Dan Goelzer, board member of the Public Company Accounting Oversight Board. In the afternoon, panelists Stanley Sporkin, a retired district court judge and former director of the SEC Enforcement Division and John Olson, Gibson, Dunn & Crutcher LLP, will discuss ethics in this dynamically changing regulatory and enforcement environment. At the end of the day, a panel including Jason Day, Faegre & Benson LLP, will discuss corporate governance in a changing regulatory and enforcement environment. The program will adjourn at 5:00 p.m.
For information see CLE Events on The Metropolitan Corporate Counsel website at www.metrocorpcounsel.com.
To make a reservation, call (888) 860-2531 or go to www.cobar.org/cle.