13-Hour Program

See Credit Details Below

Overview

Why you should attend

The past year has seen significant activity at the Commission as it has continued to engage in a broad range of rulemaking projects and other initiatives to implement the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA). For example, the Commission adopted rules to implement provisions of the JOBS Act lifting the ban on general solicitation in certain private offerings and also adopted rules disqualifying felons and bad actors from participating in these offerings as required by the DFA. Additional significant rulemaking that the Commission has undertaken in the past year includes, among a number of other rulemakings: rulemaking on risk retention; proposal of comprehensive money market mutual fund reforms; proposal of new rules to require certain key market participants to have comprehensive policies and procedures in place surrounding their technological systems; adoption of a rule requiring the exchanges and FINRA to jointly submit a plan to develop a consolidated audit trail; and proposed rules and interpretive guidance for parties to cross-border security-based swap transactions.

This year, the Commission has also continued to pursue a bold and unrelenting enforcement program, and the Chair has unveiled an increased readiness to litigate enforcement cases and limit the use of “neither admit nor deny” clauses in settlements. The agency has continued its efforts to ensure that it performs rigorous economic analysis to inform and help guide its rulemaking decisions, and has renewed its focus on market structure issues.

This is a period of significant transition and rulemaking at the Commission, and now more than ever you will want to hear from the Chair, Commissioners, and senior staff about the SEC’s initiatives and priorities at The SEC Speaks in 2014.

On Friday, registrants may attend one of the following Workshop Sessions:

Workshop A: International Developments
Workshop B: Trading and Markets
Workshop C: Enforcement*
Workshop D: Investment Management

On Saturday, registrants may attend one of the following Workshop Sessions:
Workshop E: Compliance Inspections and Examinations
Workshop F: Accounting
Workshop G: Corporation Finance*

*Please note: One Workshop will be Webcast each program day.

On Friday, Workshop C: Enforcement will be Webcast, and on Saturday, Workshop G: Corporation Finance will be Webcast.

Special Features

  • All attendees and speakers are invited to a cocktail reception on Friday evening, immediately following the afternoon session
  • The Association of Securities and Exchange Commission Alumni, Inc. (ASECA) will give its annual dinner on Friday, February 21, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org

Washington, D.C. Hotel Accommodations

JW Marriott Washington DC, 1331 Pennsylvania Avenue NW, Washington, D.C. 20004. (202) 393-2000. When calling, please mention Practising Law Institute. The cut-off for the preferred rate is January 28, 2014.

Credit Details