Advanced Search

Seminars & Webcasts

On-Demand Learning

Publications

Patent Bar Review

Blogs

Audio CD

Also Available in:

DVD Video

The SEC Speaks in 2012

Released on: Mar. 24, 2012

Segments
Overview
Faculty
CLE Credit

Audio CD's from the program The SEC Speaks in 2012, held February, 2012.

Co-Chair(s)

Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP

Robert S Khuzami ~ Former Director, Division of Enforcement, U.S. Securities and Exchange Commission

Speaker(s)

Hon. Luis A. Aguilar ~ Commissioner, U.S. Securities and Exchange Commission

Michele Anderson ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance, US Securities and Exchange Commission

Jason M. Anthony ~ US Securities and Exchange Commission

Alberto Arevalo ~ Assistant Director, Enforcement, Office of International Affairs, US Securities and Exchange Commission

Hon. Paul S. Atkins ~ Chief Executive, Patomak Global Partners, LLC

John W. Avery ~ Deputy Solicitor, US Securities and Exchange Commission

Scott Bauguess ~ Assistant Director, Office of Corporate Finance, US Securities and Exchange Commission

J. Troy Beatty ~ Assistant Director, International Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission

David Bergers ~ Acting Deputy Director, Division of Enforcement, U.S. Securities and Exchange Commission

Z. Scott Birdwell ~ Assistant Director, Office of International Affairs, U.S. Securities and Exchange Commission

David W. Blass ~ Chief Counsel and Associate Director, Division of Trading and Markets, US Securities and Exchange Commission

Sherman Boone ~ Assistant Director, Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission

Andrew J. Bowden ~ Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission

Kara N. Brockmeyer ~ Chief, FCPA Unit; Division of Enforcement, Securities and Exchange Commission

Brian A. Bussey ~ Associate Director, Division of Trading Markets, U.S. Securities and Exchange Commission

Mark D. Cahn ~ Former General Counsel,

Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Hon. Roel C. Campos ~ Locke Lord LLP

Hon. Kathleen L. Casey ~

Norm Champ ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission

Barbara C. Chretien-Dar ~ Assistant Director, Office of Enforcement Liason, Division of Enforcement, U.S. Securities and Exchange Commission

Michael Conley ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission

Robert W. Cook ~ Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Hon. Charles C. Cox ~ Senior Vice President, Compass Lexecon

Brian T. Croteau ~ Deputy Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission

Peter J. Curley ~ Associate Director, Division of Trading and Markets, US Securities and Exchange Commission

Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission

Amy Edwards ~ Assistant Director, Office of Markets, U.S. Securities and Exchange Commission

Jaime L. Eichen ~ Chief Accountant, Division of Investment Management, US Securities and Exchange Commission

Hon. Edward H. Fleischman ~

Jason S. Flemmons ~ Deputy Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission

Carlo V. di Florio ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Hon. Stephen J. Friedman ~ President, Pace University

Hon. Daniel M. Gallagher ~ Commissioner, Securities and Exchange Commission

Karen Garnett ~ Associate Director, Disclosure Operations, United States Securities and Exchange Commission, Division of Corporate Finance

James T. Giles ~ Assistant Director, Office of Broker-Dealer Examinations, OCIE, US Securities and Exchange Commission

Merri Jo Gillette ~ Regional Director, Chicago Regional Office, U.S. Securities and Exchange Commission

Hon. Cynthia A. Glassman ~ Alexandria, VA,

Elaine C. Greenberg ~ Associate Regional Director and Chief, Municipal Securities and Public Pensions, Philadelphia Regional Office, U.S. Securities and Exchange Commission

Kathleen Hanley ~ Deputy Director and Deputy Chief Economist, U.S. Securities and Exchange Commission

Daniel M. Hawke ~ Regional Director, Philadelphia and Chief, Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission

Jon D. Hertzke ~ Assistant Director, Office of Market Oversight, OCIE, US Securities and Exchange Commission

Katherine Hsu ~ US Securities and Exchange Commission

Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission

Kathleen Kelly Hutchinson ~ Branch Chief for Regulatory Policy, US Securities and Exchange Commission

Jonathan Ingram ~ Deputy Chief Counsel, Division of Corporation Finance, US Securities and Exchange Commission

Joseph P. Kamnik ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission

Hon. Roberta S. Karmel ~ Centennial Professor of Law and Co-Director, Dennis J. Block Center for the Study of International Business Law, Brooklyn Law School

Bruce Karpati ~ Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission

Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission

James L. Kroeker ~ Former Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission

Mark Kronforst ~ Associate Director (Disclosure Operations), United States Securities and Exchange Commission, Division of Corporate Finance

Felicia Kung ~ Chief, Office of Rule Making, Division of Corporation Finance, U.S. Securities and Exchange Commission

Gerald J. Laporte ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission

Julius Leiman-Carbia ~ Associate Director, Office of Broker-Dealer Examinations, U.S. Securities and Exchange Commission

Craig Lewis ~ Director and Chief Economist, Division of Risk, Strategy, and Financial Innovation, U.S. Securities and Exchange Commission

Joan L. Loizeaux ~ Associate General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission

Abraham Losice ~ US Securities and Exchange Commission

Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Jennifer Marietta-Westberg ~ Assistant Director, Office of Investments and Intermediaries, US Securities and Exchange Commission

Matthew T. Martens ~ Chief Litigation Counsel, Division of Enforcement, U.S. Securities and Exchange Commission

Donna McCaffrey ~ Special Trial Counsel, Office of General Counsel, SEC

Thomas K. McGowan ~ Deputy Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Sean McKessy ~ Chief, Office of the Whistleblower, Division of Enforcement, US Securities and Exchange Commission

Jeffrey J. Minton ~ Chief Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission

Susan Nash ~ Associate Director, Insured Investments, Division of Investment Management, U.S. Securities and Exchange Commission

Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP

Tram N. Nguyen ~ Branch Chief, Private Funds Branch, Division of Investment Management, U.S. Securities and Exchange Commission

Craig C. Olinger ~ Acting Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission

Elizabeth G. Osterman ~ Associate Director, Exemptive Applications, Division of Investment Management, U.S. Securities and Exchange Commission

Hon. Troy A. Paredes ~ Commissioner, U.S. Securities and Exchange Commission

Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission

Dawn Patterson ~ Associate Director, Office of Clearing and Settlement, U.S. Securities and Exchange Commission

Hon. Aulana L. Peters ~ Gibson, Dunn & Crutcher LLP (Retired)

Hon. Harvey L. Pitt ~ Chief Executive Officer; Formerly 26th Chairman of the U.S. S.E.C., 2001-2003, Kalorama Partners, LLP; Kalorama Legal Services, PLLC

Robert E. Plaze ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission

John Polise ~ Associate Director, Office of Market Oversight, Office of Compliance and Inspections, U.S. Securities and Exchange Commission

Hon. Irving M. Pollack ~ Pollack & Storch

John Ramsay ~ Acting Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

James Reese ~ Assistant Director, Office of Risk Analysis and Surveillance, OCIE, US Securities and Exchange Commission

Hon. Richard Y. Roberts ~ Roberts, Raheb & Gradler, LLC

John C. Roeser ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Eileen P. Rominger ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission

Randall W. Roy ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Hon. David S. Ruder ~ Professor of Law Emeritus, Northwestern University School of Law

Hon. Mary L. Schapiro ~ Chairman, U.S. Securities and Exchange Commission

Howard A. Scheck ~ Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission

Douglas Scheidt ~ Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission

Paula Sherman ~ Senior Special Counsel, Office of Clearance and Settlement, US Securities and Exchange Commission

David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Sarah G ten Siethoff ~ US Securities and Exchange Commission

J. W. Mike Starr ~ Deputy Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission

Amy M. Starr ~ Senior Special Counsel, Office of Chief Counsel, Division of Corporation Finance, Securities and Exchange Commission

Jacob H. Stillman ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission

Ethiopis Tafara ~ Director, Office of International Affairs, U.S. Securities and Exchange Commission

Josephine J. Tao ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

Hon. Laura S. Unger ~ Special Adviser, Promontory Financial Group, Promontory Financial Group

Sanjay Wadhwa ~ Senior Associate Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Hon. Steven M.H. Wallman ~ Chief Executive Officer, FOLIOfn, Inc.

Hon. Elisse B. Walter ~ Commissioner, U.S. Securities and Exchange Commission

Harvey Westbrook ~ Assistant Director of Quantitative Research, US Securities and Exchange Commission

PLI makes every effort to accredit its recorded programs. Please check the CLE Calculator above for CLE information specific to your state.

PLI Audio CDs and DVDs are approved in the following states/territories: AK, AZ, CA, CO, FL, GA, ID*, IL, KY, ME, MO, MT, ND, NH*, NJ, NM, NV, NY, OR*, PA, TX¹, UT, VI, VT, WA, WV, WY. Some exceptions apply. For more information contact PLI.

¹Texas: Considered self-study credit. There is a 5 credit limit, including specialty credit.

*PLI will apply for credit upon request.

Running time and CLE credit hours earned are not necessarily the same. Please be aware that many states do not permit credit for luncheon speakers.

Special Note: In New York, non-traditional course formats including audio and video cassettes are NOT acceptable for transitional CLE credit for the newly admitted attorney within the first two years after their admission to the Bar. Attorneys other than newly admitted may use non-traditional course format, including audio and video cassettes to fulfill their CLE requirements.

IMPORTANT GENERAL INFORMATION

This product is designed to provide practical and useful information on the subject matter covered. However, it is sold with the understanding that the publisher is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional should be sought.

Running time and CLE credit hours earned are not necessarily the same. Please be aware that many states do not permit CLE credit for luncheon speakers.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

IMPORTANT INFORMATION FOR ATTORNEYS SEEKING CLE CREDIT

CLE Credit will be granted ONLY to the individual on record as the purchaser of [this] PLI Audio CD or DVD.

While viewing/listening to the program, be alert to listen for the AUTHORIZATION CODE which has been placed somewhere within the program. For programs that consist of more than one CD, please be advised that there is an authorization code placed on each CD. Write the code(s) down; you will be asked for this information when you request CLE credit.

Once you’ve completed the program, please go to www.pli.edu and log in.

a. Click on the ‘My PLI History’ link found under the "My Account" Page.

b. Find the title in the listing and click on Apply for Credit under Credit Status. You will be asked to complete a short evaluation, and fill in the AUTHORIZATION CODE.
Once you click the Submit button, your request for CLE credit will be sent to the CLE department. PLI will email you a CLE certificate in about two weeks.
If you are unable to successfully log in, please contact our customer service department at 800-260-4754 for assistance.

RETURN POLICY

DVDs, Audio CDs and CD-ROMs are non-refundable, with the exception of defective or unopened products.

On-Demand Programs

The SEC Speaks in 2013

Mar. 9, 2013

Course Handbook Archive

The SEC Speaks in 2013	Craig Lewis, U.S. Securities and Exchange Commission Carlo V. di Florio, U.S. Securities and Exchange Commission
The SEC Speaks in 2012	Robert S Khuzami, U.S. Securities and Exchange Commission Meredith B. Cross, Wilmer Cutler Pickering Hale and Dorr LLP

Related Treatises

Social Media and the Law

Post-Grant Proceedings Before the Patent Trial and Appeal Board

Employment Law Yearbook 2012

FOLLOW PLI:

TRUSTe European Safe Harbor certification

Practice Areas

Location

Credit Type

Format

Practice Areas

Credit Type

Format

Specialty

Practice Areas

Format

Subscriptions

Audio CD

The SEC Speaks in 2012

On-Demand Segment

CREDIT INFORMATION

Related Items

On-Demand Programs

Course Handbook Archive

CREDIT INFORMATION

Check Specific State Credit Requirements

Related Treatises


	Practice Areas Accounting Banking Corporate & Securities Employment ERISA Ethics/Professional Responsibility Health Care Intellectual Property International Litigation Patent Pro Bono Professional Skills Real Estate Tax Location New York, NY San Francisco, CA Chicago, IL Washington, DC Columbus, OH Credit Type Elimination of Bias Ethics General Professional Practice Skills Format Groupcasts Seminars Webcasts One-Hour Briefings


	Practice Areas Accounting Banking Bankruptcy & Restructuring Corporate & Securities Employment ERISA Ethics/Professional Responsibility Intellectual Property International Litigation Patent Pro Bono Professional Skills Real Estate Tax Credit Type Elimination of Bias Ethics General Practice Management Professional Practice Professionalism Skills Substance Abuse Trial Format Audio Download (MP3) Web Segments Video Download (MP4) On-Demand Web Programs DVD Videos Audio CDs Audio Only Web Programs PLI Mobile CLE App Specialty eMentor Transcripts


	The Exam Live Courses Homestudy Course Testimonials FAQ's For Engineers & Scientists


	Securities Law Practice Center Patent Law Practice Center PLI Librarian


	On-Demand Segment Description Faculty CLE Credit PLI makes every effort to accredit its recorded programs. PLI MP3s are approved in the following states/territories: AK, CA¹, CO, FL, GA, ID, IL, KS², ME, MO, MT, NC, ND, NH, NJ, NM, NV, NY, OR, PA, TX³, UT, VI, VT, WA, WV, WY. Some exceptions apply. For more information contact PLI. ¹California: This activity qualifies for participatory credit. ²Kansas: There is a 5.0 credit limit per year for this type of viewing. ³Texas: Considered self-study credit. There is a 5 credit limit, including specialty credit. Please note:* The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. *PLI will apply for credit upon request. Running time and CLE credit hours earned are not necessarily the same. Please be aware that many states do not permit credit for luncheon speakers. Special Note: In New York, non-traditional course formats including audio and video cassettes are NOT acceptable for transitional CLE credit for the newly admitted attorney within the first two years after their admission to the Bar. Attorneys other than newly admitted may use non-traditional course format, including audio and video cassettes to fulfill their CLE requirements. IMPORTANT INFORMATION FOR ATTORNEYS SEEKING CLE CREDIT While listening to the program, be alert to listen for the AUTHORIZATION CODE which has been placed somewhere within the program. Write the code down; you will be asked for this information when you request CLE credit. Once you’ve completed the program, please go to www.pli.edu and log in. Once you are logged in, your account will be displayed and the available programs will be listed on the left side under the heading "My Online Library". If you are already logged in, click the link for My Account on the home page to access your Online Library. Return to the program and click the MCLE Registration button in the top right region of the program window. A new window will open with a CLE Request form, you will be asked to complete a short evaluation, and fill in the AUTHORIZATION CODE, please complete and submit the form. Once you click the Submit button, your request for CLE credit will be sent to the CLE department. PLI will email you a CLE certificate within 48 hours. If you are unable to successfully log in, please contact our customer service department at 800-260-4754 for assistance. GENERAL INFORMATION This product is designed to provide practical and useful information on the subject matter covered. However, it is sold with the understanding that the publisher is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional should be sought. If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued. PLI makes every effort to accredit its On-Demand Web Programs and Segments. Please check the CLE Calculator above for CLE information specific to your state. On-Demand Web Programs and Segments are approved in: Alabama¹, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois , Iowa², Kansas, Kentucky, Louisiana, Maine, Mississippi, Missouri³, Montana, Nebraska, Nevada, New Hampshire⁴, New Jersey, New Mexico⁵, New York⁶, North Carolina⁸, North Dakota, Ohio⁸, Oklahoma⁹, Oregon, Pennsylvania¹⁰, Rhode Island¹¹, South Carolina, Tennessee¹², Texas, Utah, Vermont, Virginia¹³, Washington, West Virginia, Wisconsin¹⁴ and Wyoming. Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs. Minnesota approves live webcasts ONLY The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. *PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs. ¹Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits. ²Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts. ³Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit. ⁴New Hamphsire: The approval is for three years from recorded date. ⁵New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year. ⁶New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. ⁷North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. ⁸Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program. ⁹Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs. ¹⁰Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour. ¹¹Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component. ¹²Tennessee: The approval is for the calendar year in which the live program was presented. ¹³Virginia: All distance learning courses are to be done in an educational setting, free from distractions. ¹⁴Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts. Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers. If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued. Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu. Add to Cart Membership Suite Options: Add to My List Register From Roster Request Groupcast Receive all of the items below at the reduced price of $0.00 A combined savings of $0.00 Buy Combo CREDIT INFORMATION Credits for: