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The SEC Speaks in 2013

Released on: Mar. 9, 2013

Running Time: 13:22:47

Segments
Overview
Faculty
CLE Credit

Running Time	Segment Title	Faculty
[01:11:58]	Corporation Finance	Hon. Edward H. Fleischman ~ Gerald J. Laporte ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission Lona Nallengara ~ Acting Director, Division of Corporation Finance, U.S. Securities and Exchange Commission Felicia Kung ~ Chief, Office of Rule Making, Division of Corporation Finance, U.S. Securities and Exchange Commission Hon. Roel C. Campos ~ Locke Lord LLP Thomas J. Kim ~ Chief Counsel & Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission Michele Anderson ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance, US Securities and Exchange Commission
[01:05:34]	Trading and Markets	Hon. Steven M.H. Wallman ~ Chief Executive Officer, FOLIOfn, Inc. Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP Heather A. Seidel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission Brian A. Bussey ~ Associate Director, Division of Trading Markets, U.S. Securities and Exchange Commission James R. Burns ~ Deputy Director, Division of Trading and Markets, US Securities and Exchange Commission Gregg E. Berman ~ Associate Director, Division of Trading and Markets, Division of Trading and Markets, U.S. Securities and Exchange Commission John Ramsay ~ Acting Director, Division of Trading and Markets, U.S. Securities and Exchange Commission David W. Blass ~ Chief Counsel and Associate Director, Division of Trading and Markets, US Securities and Exchange Commission Peter J. Curley ~ Associate Director, Division of Trading and Markets, US Securities and Exchange Commission
[01:11:07]	Enforcement	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 Sanjay Wadhwa ~ Senior Associate Regional Director, New York Regional Office, U.S. Securities and Exchange Commission Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges Daniel M. Hawke ~ Regional Director, Philadelphia and Chief, Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission David Bergers ~ Acting Deputy Director, Division of Enforcement, U.S. Securities and Exchange Commission George S. Canellos ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission Jane A. Norberg ~ Deputy Director, Office of the Whistleblowre, U.S. Securities and Exchange Commission Eric Bustillo ~ Regional Director, Miami Regional Office, U.S. Securities and Exchange Commission Matthew T. Martens ~ Chief Litigation Counsel, Division of Enforcement, U.S. Securities and Exchange Commission Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
[01:02:38]	Investment Management	Susan Nash ~ Associate Director, Insured Investments, Division of Investment Management, U.S. Securities and Exchange Commission Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC Diane C. Blizzard ~ Associate Director, Rulemaking, Division of Investment Management, US Securities and Exchange Commission Hon. Paul S. Atkins ~ Chief Executive, Patomak Global Partners, LLC Barry D. Miller ~ Associate Director, Disclosure Review and Accounting, Division of Investment Management, U.S. Securities and Exchange Commission Hon. Laura S. Unger ~ Special Adviser, Promontory Financial Group, Promontory Financial Group Elizabeth G. Osterman ~ Associate Director, Exemptive Applications, Division of Investment Management, U.S. Securities and Exchange Commission Norm Champ ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission Janet M. Grossnickle ~ Assistant Director, Exemptive Applications Office #2, Division of Investment Management, US Securities and Exchange Commission David W. Grim ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission Daniel S. Kahl ~ Assistant Director, Office of Investment Advisor Regulation, Division of Investment Management, US Securities and Exchange Commission
[00:57:25]	Workshop A (Corporation Finance)	Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission James Lopez ~ Legal Branch Chief, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission Justin Dobbie ~ Legal Branch Chief, Disclosure Operations, US Securities and Exchange Commission Mark Kronforst ~ Associate Director (Disclosure Operations), United States Securities and Exchange Commission, Division of Corporate Finance Kathleen Collins ~ Accounting Branch Chief, Disclosure Operations, US Securities and Exchange Commission Daniel Gordon ~ Accounting Branch Chief, Disclosure Operations, US Securities and Exchange Commission
[01:07:03]	Compliance Inspections and Examination	Julius Leiman-Carbia ~ Associate Director, Office of Broker-Dealer Examinations, U.S. Securities and Exchange Commission Andrew J. Bowden ~ Director, U.S. Securities and Exchange Commission Thomas J. Butler ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission Paula Drake ~ Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission 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 John Polise ~ Associate Director, Office of Market Oversight, Office of Compliance and Inspections, U.S. Securities and Exchange Commission Hon. Roel C. Campos ~ Locke Lord LLP Carlo V. di Florio ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission Dawn Patterson ~ Associate Director, Office of Clearing and Settlement, U.S. Securities and Exchange Commission
[01:12:42]	Accounting	Hon. Aulana L. Peters ~ Gibson, Dunn & Crutcher LLP (Retired) Craig C. Olinger ~ Acting Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission Hon. Cynthia A. Glassman ~ Alexandria, VA, Howard A. Scheck ~ Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission Jaime L. Eichen ~ Chief Accountant, Division of Investment Management, US Securities and Exchange Commission Paul A. Beswick ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
[00:58:25]	Risk, Strategy and Financial Innovation	Kathleen Hanley ~ Deputy Director and Deputy Chief Economist, U.S. Securities and Exchange Commission Craig M. Lewis ~ Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission Virginia Meany ~ Assistant Director, Office of Risk Assessment and Interactive Data, US Securities and Exchange Commission Hon. Charles C. Cox ~ Senior Vice President, Compass Lexecon Harvey Westbrook ~ Assistant Director of Quantitative Research, US Securities and Exchange Commission Jennifer Marietta-Westberg ~ Assistant Director, Office of Investments and Intermediaries, US Securities and Exchange Commission Hon. Kathleen L. Casey ~ Scott Bauguess ~ Assistant Director, Office of Corporate Finance, US Securities and Exchange Commission
[01:01:12]	Judicial and Legislative Developments	Jacob H. Stillman ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission Hon. David S. Ruder ~ Professor of Law Emeritus, Northwestern University School of Law Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission John W. Avery ~ Deputy Solicitor, US Securities and Exchange Commission Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges 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 Michael Conley ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission Geoffrey F. Aronow ~ General Counsel, U.S. Securities and Exchange Commission Rory C. Flynn ~ Associate General Counsel, Office of the General Counsel,
[00:59:07]	Ethics	Hon. David S. Ruder ~ Professor of Law Emeritus, Northwestern University School of Law Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. 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 Donna McCaffrey ~ Special Trial Counsel, Office of General Counsel, SEC Geoffrey F. Aronow ~ General Counsel, U.S. Securities and Exchange Commission
[01:07:05]	Workshop E (OCIE)	Harvey Westbrook ~ Assistant Director of Quantitative Research, US Securities and Exchange Commission Paula Sherman ~ Senior Special Counsel, Office of Clearance and Settlement, US Securities and Exchange Commission Jon D. Hertzke ~ Assistant Director, Office of Market Oversight, OCIE, US Securities and Exchange Commission Steven Dittert ~ Assistant Regional Director, Philadelphia Regional Office, US Securities and Exchange Commission James T. Giles ~ Assistant Director, Office of Broker-Dealer Examinations, OCIE, US Securities and Exchange Commission James Reese ~ Assistant Director, Office of Risk Analysis and Surveillance, OCIE, US Securities and Exchange Commission Michele Wilham ~ Branch Chief, Office of Credit Ratings, US Securities and Exchange Commission

Over the past year, the Commission has been engaged in a broad range of rulemaking projects and other initiatives to implement the newly-enacted Jumpstart Our Business Startups Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission has been working to implement the provisions of the JOBS Act, including with regard to the use of general solicitation and general advertising in certain private offerings, new exemptions for crowdfunding and other limited securities offerings, and the registration and reporting thresholds under the Exchange Act, as well as studies about tick size and issuer disclosure requirements. The Commission also has continued its efforts with regard to implementation of the Dodd-Frank Act, including issuance of a “roadmap” on phase-in of derivatives regulation, approval of new rules and interpretations on key terms for regulating derivatives, and approval of new rules relating to clearing agencies, investment advisory performance fees, specialized corporate disclosures, and listing standards for compensation committees and compensation consultants. In addition, the Commission adopted new requirements related to the creation, implementation, and maintenance of a consolidated order tracking system by self-regulatory organizations, continued its work on a key initiative relating to regulation of the asset-backed securities market, and issued a report and recommendations on the municipal securities market.

The Commission continues to accelerate its efforts to protect investors and promote the integrity of the marketplace. At the heart of these efforts are increasingly effective programs in enforcement and examination, including specialized units with expertise in complex, high priority areas; various specialization initiatives throughout the agency to proactively identify high-risk areas for further examination and investigation; and use of targeted approaches to better detect links and patterns suggesting misconduct. Complementing these efforts are a series of measures to encourage corporate insiders and others to come forward with evidence of wrongdoing, including a Cooperation Program that establishes incentives for individuals and companies to fully and truthfully cooperate and assist with investigations, and a Whistleblower Program that gives the agency authority to compensate individuals who provide useful information about violations of the federal securities laws, thus allowing the Commission to bring stronger cases and shut down fraudulent schemes earlier than would otherwise be possible.

This year more than ever, you will want to hear from the Chairman, Commissioners, and senior staff about the SEC’s initiatives and priorities at The SEC Speaks in 2013.

Lecture Topics [Total time 13:22:47]

Segments with an asterisk (*) are available only with the purchase of the entire program.

Opening Remarks* [00:08:06]
Carlo V. di Florio, Craig Lewis
Chairman's Remarks* [00:17:14]
Hon. Elisse B. Walter
Corporation Finance [01:11:58]
Thomas J. Kim, Michele Anderson, Paul M. Dudek, Felicia Kung, Gerald J. Laporte, Hon. Edward H. Fleischman, Hon. Roel C. Campos, Lona Nallengara
Trading and Markets [01:05:34]
James R. Burns, John Ramsay, David W. Blass, Brian A. Bussey, Peter J. Curley, Michael A. Macchiaroli, Heather A. Seidel, David S. Shillman, Hon. Annette L. Nazareth, Hon. Steven M.H. Wallman, Gregg E. Berman
Commissioner's Remarks* [00:21:11]
Hon. Luis A. Aguilar
Commissioner's Remarks* [00:13:11]
Hon. Troy A. Paredes
Enforcement [01:11:07]
George S. Canellos, Jane A. Norberg, Eric Bustillo, Joseph K. Brenner, Matthew T. Martens, Daniel M. Hawke, Sanjay Wadhwa, Hon. Harvey J. Goldschmid, Hon. Harvey L. Pitt, David Bergers
Commissioner's Remarks* [00:28:49]
Hon. Daniel M. Gallagher
Investment Management [01:02:38]
Norm Champ, Diane C. Blizzard, Barry D. Miller, Susan Nash, Elizabeth G. Osterman, Hon. Paul S. Atkins, Hon. Richard C. Breeden, Hon. Laura S. Unger, Janet M. Grossnickle, Daniel S. Kahl, David W. Grim
Workshop A (Corporation Finance) [00:57:25]
Shelley E. Parratt, Mark Kronforst, Kathleen Collins, James Lopez, Daniel Gordon, Justin Dobbie
Compliance Inspections and Examination [01:07:03]
Thomas J. Butler, Andrew J. Bowden, Julius Leiman-Carbia, Dawn Patterson, John Polise, Hon. Roel C. Campos, Hon. Harvey L. Pitt, Paula Drake, Carlo V. di Florio
Accounting [01:12:42]
Paul A. Beswick, Jaime L. Eichen, Craig C. Olinger, Hon. Cynthia A. Glassman, Hon. Aulana L. Peters, Howard A. Scheck
Risk, Strategy and Financial Innovation [00:58:25]
Kathleen Hanley, Jennifer Marietta-Westberg, Scott Bauguess, Virginia Meany, Harvey Westbrook, Hon. Kathleen L. Casey, Hon. Charles C. Cox, Craig Lewis
Judicial and Legislative Developments [01:01:12]
Michael Conley, Jacob H. Stillman, Richard M. Humes, Rory C. Flynn, John W. Avery, Hon. Harvey J. Goldschmid, Hon. Roberta S. Karmel, Hon. David S. Ruder, Geoffrey F. Aronow
Ethics [00:59:07]
Hon. Harvey J. Goldschmid, Hon. Roberta S. Karmel, Hon. David S. Ruder, Thomas J. Karr, Donna McCaffrey, Geoffrey F. Aronow
Workshop E (OCIE) [01:07:05]
Steven Dittert, James T. Giles, Jon D. Hertzke, James Reese, Paula Sherman, Harvey Westbrook, Michele Wilham

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2012
Outline: SEC Speaks 2013, Division of Trading and Markets
Outline: Selected SEC Enforcement Actions, December 2012
Robert S Khuzami
Outline: Division of Investment Management
Speech: Conflicts of Interest and Risk Governance, by Carlo v. Di Florio, Director, Office of Compliance Inspections and Examinations, National Society of Compliance Professionals, October 22, 2012
Letter to Senior Executive or Principal of a Newly Registered Investment Adviser Dated October 9, 2012
Staff Summary Report on Examinations of Information Barriers: Broker-Dealer Practices Under Section 15(g) of the Securities Exchange Act of 1934, by the Staff of the Office of Compliance Inspections and Examinations, United States SEC, September 27, 2012
National Examination Risk Alert, by the Office of Compliance Inspections and Examinations, Volume II, Issue 4, August 31, 2012, "Pay-To-Play" Prohibitions for Brokers, Dealers and Municipal Securities Dealers Under MSRB Rules
Anti-Money Laundering (AML) Source Tool for Mutual Funds, July 2, 2012
Anti-Money Laundering (AML) Source Tool for Broker-Dealers, June 20, 2012
National Examination Risk Alert, by the Office of Compliance Inspections and Examinations, Volume II, Issue 3, March 19, 2012, Strengthening Practices for the Underwriting of Municipal Securities
National Examination Risk Alert, by the Office of Compliance Inspections and Examinations, Volume II, Issue 2, February 27, 2012, Strengthening Practices for Presenting and Detecting Unauthorized Trading and Similar Activities
Work Plan for the Consideration of Incorporating International Financial Reporting Standards into the Financial Reporting System for U.S. Issuers, Final Staff Report, July 13, 2012, Office of the Chief Accountant, United States SEC
The Expanded Role of Economists in SEC Rulemaking, Speech at SIFMA Compliance & Legal Society Luncheon, by Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, U.S. SEC, October 16, 2012
Memorandum to Staff of the Rulewriting Divisions and Offices From RSFI and OGC Dated March 16, 2012 Re: Current Guidance on Economic Analysis in SEC Rulemakings
2012 In Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission, December 7, 2012
Joan A. McCarthy, Rory C. Flynn
Recent Significant Judicial Developments, Securities and Exchange Commission, Office of the General Counsel, December 12, 2012
In the Matter of William J. Reilly, Esq., SEC Release No. 60890/October 27, 2009, Administrative Proceeding, File No. 3-13666, Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice. . .
In the Matter of William J. Reilly, Esq., SEC Release No. 68374/December 6, 2012, Administrative Proceeding, File No. 3-15126, Order Instituting Administrative Proceedings Pursuant to Section 4C of The Securities Exchange Act of 1934 and Rule 102(e). . .
In the Matter of David M. Tamman, Esq., SEC Release No. 63785/January 27, 2011, Administrative Proceeding, File No. 3-14207, Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e). . .
In the Matter of David M. Tamman, Esq., SEC Administrative Proceeding File No. 3-14207, November 29, 2012, Order Following Prehearing Conference Lifting Stay and Granting Leave to File Summary Disposition Motion
Press Release No. 12-159, Former Law Firm Partner Convicted of Obstructing SEC Investigation, November 13, 2012
In the Matter of Mitchell Segal, Esq., SEC Release No. 67393/July 10, 2012, Administrative Proceeding, File No. 3-14945, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3). . .
SEC v. Reilly, No. 9:11-CV-81322-DMM, (S.D. FLA. Apr. 16, 2012), Order Granting Motion for Default Judgment and Closing Case
Outline: Office of International Affairs
2012 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization, as Required by Section 15E(p)(3)(C) of the Securities Exchange Act of 1934, November 2012
Dear DCO Letter Dated November 15, 2012
Annual Report on Nationally Recognized Statistical Rating Organizations, as Required by Section 6 of the Credit Rating Agency Reform Act of 2006, December 2012
Office of Municipal Securities Update for SEC Speaks 2013
Index to The SEC Speaks in 2013

Presentation Material

Corporation Finance
Thomas J. Kim, Michele Anderson, Paul M. Dudek, Felicia Kung, Gerald J. Laporte, Lona Nallengara
Investment Management
Norm Champ, Diane C. Blizzard, Barry D. Miller, Susan Nash, Elizabeth G. Osterman
Accounting
Paul A. Beswick, Jaime L. Eichen, Craig C. Olinger, Howard A. Scheck
Risk, Strategy and Financial Innovation
Kathleen Hanley, Virginia Meany, Harvey Westbrook, Craig Lewis

Co-Chair(s)

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

Craig M. Lewis ~ Director, Division of Economic and Risk Analysis, 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

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

Geoffrey F. Aronow ~ General Counsel, U.S. Securities and Exchange Commission

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

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

David Barr ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. 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

Gregg E. Berman ~ Associate Director, Division of Trading and Markets, Division of Trading and Markets, U.S. Securities and Exchange Commission

Paul A. Beswick ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission

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

Diane C. Blizzard ~ Associate Director, Rulemaking, Division of Investment Management, US Securities and Exchange Commission

Andrew J. Bowden ~ Director, U.S. Securities and Exchange Commission

Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC

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

James R. Burns ~ Deputy Director, Division of Trading and Markets, US Securities and Exchange Commission

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

Eric Bustillo ~ Regional Director, Miami Regional Office, U.S. Securities and Exchange Commission

Thomas J. Butler ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission

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

Hon. Roel C. Campos ~ Locke Lord LLP

George S. Canellos ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission

Hon. Kathleen L. Casey ~

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

Kathleen Collins ~ Accounting Branch Chief, Disclosure Operations, US Securities and Exchange Commission

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

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

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

Gloria Dalton ~ Assistant Director for Supervisory Cooperation, US Securities and Exchange Commission

Steven Dittert ~ Assistant Regional Director, Philadelphia Regional Office, US Securities and Exchange Commission

Justin Dobbie ~ Legal Branch Chief, Disclosure Operations, US Securities and Exchange Commission

Kathleen Dolan ~ Senior Special Counsel, Division of Trading and Markets, US Securities and Exchange Commission

Paula Drake ~ Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

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

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

Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission

Hon. Edward H. Fleischman ~

Rory C. Flynn ~ Associate General Counsel, Office of the General Counsel,

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

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

Hon. Cynthia A. Glassman ~ Alexandria, VA,

Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges

Daniel Gordon ~ Accounting Branch Chief, Disclosure Operations, US Securities and Exchange Commission

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

David W. Grim ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission

Janet M. Grossnickle ~ Assistant Director, Exemptive Applications Office #2, Division of Investment Management, US 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

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

Daniel S. Kahl ~ Assistant Director, Office of Investment Advisor Regulation, Division of Investment Management, 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

Thomas J. Kim ~ Chief Counsel & Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission

Martin Kimel ~ Senior Special Counsel, Office of Enforcement Liaison, Division of Investment Management, 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

Michele W. Layne ~ Regional Director, Los Angeles Office, Division of Enforcement, U.S. Securities and Exchange Commission

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

James Lopez ~ Legal Branch Chief, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission

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

Cecil Mak ~ Professional Accounting Fellow, Office of the Chief Accountant, 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

Carol M. McGee ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission

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

Virginia Meany ~ Assistant Director, Office of Risk Assessment and Interactive Data, US Securities and Exchange Commission

Laura M. Metcalfe ~ Assistant Director - Structured and New Products Unit, Division of Enforcement, US Securities and Exchange Commission

Barry D. Miller ~ Associate Director, Disclosure Review and Accounting, Division of Investment Management, U.S. Securities and Exchange Commission

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

Lona Nallengara ~ Acting Director, Division of Corporation Finance, 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

Jane A. Norberg ~ Deputy Director, Office of the Whistleblowre, 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

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

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

Julie M. Riewe ~ Deputy Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission

John C. Roeser ~ Assistant Director, Division of Trading and Markets, 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

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

Heather A. Seidel ~ Associate Director, Division of Trading and Markets, 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

Jacob H. Stillman ~ Solicitor, Office of the General Counsel, 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

Michele Wilham ~ Branch Chief, Office of Credit Ratings, US Securities and Exchange Commission

Haimera A. Workie ~ Deputy Associate Director, Division of Trading and Markets, US Securities and Exchange Commission

Charles F. Wright ~ Counsel to the Chief Accountant of Enforcement, US Securities and Exchange Commission

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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.

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	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 Carolina⁷, 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 Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45. *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: