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The SEC Speaks in 2013


Why you should attend

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.

What you will learn

Who should attend

Day One:  8:45 a.m. - 5:45 p.m.

Morning Session:  8:45 a.m. - 12:10 p.m.

8:45  Opening Remarks

Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations (“OCIE”)
Craig Lewis, Director and Chief Economist, Division of Risk, Strategy and Financial Innovation

9:05  Chairman’s Remarks

Hon. Elisse B. Walter

9:25  Corporation Finance

  • Dodd-Frank Act rulemaking
  • JOBS Act implementation efforts
  • M&A and international corporate finance developments
  • Other Division initiatives

Speakers: Division of Corporation Finance

Lona Nallengara, Acting Director
Thomas J. Kim, Chief Counsel and Associate Director
Michele M. Anderson, Chief, Office of Mergers and Acquisitions
Paul M. Dudek, Chief, Office of International Corporate Finance
Felicia H. Kung, Chief, Office of Rulemaking
Gerald J. Laporte, Chief, Office of Small Business Policy

Commentators:

Hon. Edward H. Fleischman
Hon. Roel C. Campos

10:30  Networking Break

10:45  Trading and Markets

  • Dodd-Frank rulemaking
  • Clearance and settlement update
  • Market structure update
  • Financial responsibility update
  • JOBS Act implementation
  • Broker-dealer sales practices

Speakers: Division of Trading and Markets

John M. Ramsay, Acting Director
James R. Burns, Deputy Director
Gregg E. Berman, Associate Director
David W. Blass, Chief Counsel and Associate Director
Brian A. Bussey, Associate Director
Peter J. Curley, Associate Director
Michael A. Macchiaroli, Associate Director
Heather A. Seidel, Associate Director
David S. Shillman, Associate Director

Commentators:

Hon. Annette L. Nazareth
Hon. Steven M.H. Wallman

11:50  Commissioner’s Remarks

Hon. Luis A. Aguilar

12:10  Lunch

Afternoon Session:  1:25 p.m. - 5:45 p.m.

1:25  Commissioner’s Remarks

Hon. Troy A. Paredes

1:45  Enforcement

  • Overview and observations
  • Whistleblowers
  • Cooperation program
  • Legal and policy developments
  • Litigation and administrative proceedings
  • Market Abuse: Market structure, technology and trading issues

Speakers: Division of Enforcement

George S. Canellos, Acting Director
David P. Bergers, Acting Deputy Director
Jane A. Norberg, Deputy Director, Office of the Whistleblower
Eric I. Bustillo, Regional Director - Miami Regional Office
Joseph K. Brenner, Chief Counsel
Matthew T. Martens, Chief Litigation Counsel
Daniel M. Hawke, Regional Director – Philadelphia Regional Office, and Chief, Market Abuse Unit
Sanjay Wadhwa, Senior Associate Regional Director – New York Regional Office

Commentators:

Hon. Harvey J. Goldschmid
Hon. Harvey L. Pitt

2:50  Commissioner’s Remarks

Hon. Daniel M. Gallagher

3:10  Networking Break

3:25  Investment Management

  • Retirement
  • Novel Products
  • Private Funds

Speakers: Division of Investment Management

Norm Champ, Director
David W. Grim, Deputy Director
Diane C. Blizzard, Associate Director, Rulemaking
Barry D. Miller, Associate Director, Disclosure Review and Accounting
Susan Nash, Associate Director, Insured Investments
Elizabeth G. Osterman, Associate Director, Exemptive Applications
Janet M. Grossnickle, Assistant Director, Exemptive Applications #2
Daniel Kahl, Assistant Director, Investment Adviser Regulation Office

Commentators:

Hon. Paul S. Atkins
Hon. Richard C. Breeden
Hon. Laura S. Unger

4:30  Break

4:45  WORKSHOPS

Workshop A: Corporation Finance

  • Disclosure and processing developments
  • Accounting and financial reporting issues

Speakers: Division of Corporation Finance

Shelley E. Parratt, Deputy Director, Disclosure Operations
Mark Kronforst, Associate Director, Disclosure Operations
Kathleen Collins, Accounting Branch Chief, Disclosure Operations
Justin Dobbie, Legal Branch Chief, Disclosure Operations
Daniel Gordon, Accounting Branch Chief, Disclosure Operations
James Lopez, Legal Branch Chief, Disclosure Operations

Workshop B: Trading and Markets

  • Market structure discussion
  • Dodd-Frank rulemaking
  • Crowdfunding
  • Research under the JOBS Act
  • Short sales
  • Anti-money laundering
  • Options market structure
  • Recent no-action letters and staff interpretations
  • Significant SRO rules

Speakers: Division of Trading and Markets

James R. Burns, Deputy Director
Thomas K. McGowan, Deputy Associate Director
Haimera A. Workie, Deputy Associate Director
Josephine J. Tao, Assistant Director
John C. Roeser, Assistant Director
Randall W. Roy, Assistant Director
Joseph P. Kamnik, Assistant Director
Carol McGee, Assistant Director
Kathleen Dolan, Senior Special Counsel

Workshop C: Enforcement

  • Accounting and financial disclosure
  • Asset management: IAs, ICs and private funds
  • FCPA and cross-border misconduct
  • Structured and mortgage products
  • Municipal securities and public pensions
  • Other current enforcement priorities

Speakers: Division of Enforcement

Andrew M. Calamari, Regional Director, New York Regional Office
Charles F. Wright, Counsel to the Chief Accountant of Enforcement
Bruce Karpati, Chief, Asset Management Unit
Julie M. Riewe, Deputy Chief, Asset Management Unit
Kara N. Brockmeyer, Chief, FCPA Unit
Laura M. Metcalfe, Assistant Director, Structured and New Products Unit
Elaine C. Greenberg, Associate Regional Director, Philadelphia Regional Office, and Chief, Municipal Securities and Public Pensions Unit
Michele Wein Layne, Regional Director, Los Angeles Regional Office

Workshop D: Investment Management
  • Enforcement
  • International issues

Speakers: Division of Investment Management

David W. Grim, Deputy Director
Douglas Scheidt, Associate Director and Chief Counsel
Martin Kimel, Senior Special Counsel, Office of Enforcement Liaison

5:45  Adjourn

Day Two:  8:45 a.m. - 4:30 p.m.

Morning Session:  8:45 a.m. - 12:15 p.m.

8:45  Compliance Inspections and Examinations

  • Overview of National Exam Program
  • Most common risks and themes from 2011 exams
  • Examination priorities for 2012
  • Inter-agency and intra-agency coordination

Speakers:

Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations (“OCIE”)
Andrew J. Bowden, Deputy Director, OCIE
Thomas J. Butler, Director, Office of Credit Ratings
Paula Drake, Chief Counsel, OCIE
Julius Leiman-Carbia, Associate Director, Office of Broker-Dealer Examinations, OCIE
Dawn A. Patterson, Associate Director, Office of Clearing and Settlement, OCIE
John Polise, Associate Director, Office of Market Oversight, OCIE

Commentators:

Hon. Roel C. Campos
Hon. Harvey L. Pitt

9:50  Accounting

  • Current financial disclosure issues
  • Accounting and auditing issues
  • International accounting issues
  • Emerging practice issues
  • Enforcement issues and trends

Speakers:
Paul A. Beswick, Chief Accountant, Office the Chief Accountant
Jaime L. Eichen, Chief Accountant, Division of Investment Management
Craig C. Olinger, Acting Chief Accountant, Division of Corporation Finance
Howard A. Scheck, Chief Accountant, Division of Enforcement

Commentators:

Hon. Paul S. Atkins
Hon. Cynthia A. Glassman
Hon. Aulana L. Peters

10:55  Networking Break

11:10  Risk, Strategy and Financial Innovation

  • Economic guidance in Commission rulemaking
  • RSFI report on money market funds
  • Decline in the number of public companies and the potential impact of the JOBS act
  • Risk assessment using measures of accounting quality
  • Value of XBRL/structured data to investors
  • Economic analyses in Title VII rulemaking using CDS data

Speakers: Division of Risk, Strategy and Financial Innovation

Craig Lewis, Director and Chief Economist
Kathleen Weiss Hanley, Deputy Director and Deputy Chief Economist
Jennifer Marietta-Westberg, Assistant Director, Office of Investments and Intermediaries
Scott Bauguess, Assistant Director, Office of Corporate Finance
Virginia Meany, Assistant Director, Office of Risk Assessment and Interactive Data
Harvey Westbrook, Assistant Director, Office of Quantitative Research

Commentators:

Hon. Kathleen L. Casey
Hon. Charles C. Cox

12:15  Lunch

Afternoon Session:  1:15 p.m. - 4:30 p.m.

1:15  Judicial and Legislative Developments

  • Aiding and abetting the violation of antifraud provisions
  • Brokerage firm liability for sales representatives’ misrepresentations
  • Insider trading liability
  • Statute of limitations for civil penalties
  • Court approval of consent judgments
  • First Amendment challenge to Commission’s power to seek email subscriber information
  • “Customer” definition for determining SIPC protection
  • Adjudication developments

Speakers: Office of the General Counsel

Geoffrey F. Aronow, General Counsel
Michael A. Conley, Deputy General Counsel
Jacob H. Stillman, Solicitor
Richard M. Humes, Associate General Counsel
Rory C. Flynn, Associate General Counsel
John W. Avery, Deputy Solicitor

Commentators:

Hon. Harvey J. Goldschmid
Hon. Roberta S. Karmel
Hon. David S. Ruder

2:20  Ethics Developments in SEC Practice

  • Overview of recent Rule 102(e) proceedings
    - Rule 102(e)(3) - Segal
    - Rule 102(e)(1) - Tamman
  • Suspension compliance/scope of “appearing and practicing” - Reilly
  • Conflict issues
    - Multiple representations
    - SEC alumni/ae appearing and practicing before SEC

Speakers: Office of the General Counsel

Geoffrey F. Aronow, General Counsel
Thomas J. Karr, Assistant General Counsel
Donna McCaffrey, Special Trial Counsel

Commentators:

Hon. Harvey J. Goldschmid
Hon. Roberta S. Karmel
Hon. David S. Ruder

3:20  Break

3:30  WORKSHOPS

Workshop E: Compliance Inspections and Examinations

  • How does the National Exam Program decide which firms to exam?
    - Qualitative factors
    - Quantitative factors
  • How does the National Exam Program decide what areas to exam within firms?
    - Qualitative Factors
    - Quantitative factors
    - Discussions with Boards of Directors and Senior Management
Speakers: Office of Compliance Inspections and Examinations

Steven R. Dittert, Assistant Regional Director, Investment Adviser/Investment company Examination Program, Philadelphia Regional Office
Jame T. Giles, Assistant Director, Office of Broker-Dealer Examinations, OCIE
Jon D. Hertzke, Assistant Director, Office of Market Oversight, OCIE
James R. Reese, Assistant Director, Office of Risk Analysis and Surveillance, OCIE
Paula C. Sherman, Senior Special Counsel, Office of Clearance and Settlement, OCIE
Michele B. Wilham, Branch Chief, Office of Credit Ratings
Harvey Westbrook, Assistant Director, Office of Quantitative Research, Division of Risk, Strategy and Financial Innovation (Moderator)

Workshop F: Accounting

  • Emerging accounting issues
  • International accounting issues
  • Audit-related matters

Speakers: Office of the Chief Accountant

Jeffrey Minton, Chief Counsel, Office of the Chief Accountant
Cecil Mak, Professional Accounting Fellow, Office of the Chief Accountant
David Barr, Professional Accounting Fellow, Office of the Chief Accountant

Workshop G: International Developments

  • Regulatory Policy and Comparative Law Developments
    - Coordination of global financial reform initiatives
    - Updates on:
         Money market funds
         OTC derivatives
         Libor
  • Enforcement Developments
    - Cross-border cooperation
    - Success and future challenges
  • Supervisory Cooperation Developments
    - New Supervisory MOUs
    - Cross-border cooperation
  • Technical Assistance Developments
    - SEC Institutes
    - Regional and bilateral training and capacity building
Speakers: Office of International Affairs

Dr. Robert Fisher, Acting Director as of April 1 (currently Deputy Director)
Alberto Arevalo, Assistant Director for Enforcement
Gloria Dalton, Assistant Director, Supervisory Cooperation
J. Troy Beatty, Assistant Director, International Regulatory Policy
Z. Scott Birdwell, Assistant Director

4:30  Adjourn

Co-Chair(s)
Carlo V. di Florio ~ Director, Office of Compliance Inspections and 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
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 ~ Deputy Director, Office of Compliance Inspections and Examinations, 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 ~ Acting 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
Program Attorney(s)
Laura R. Shields ~ Director of Programs, Practising Law Institute

Washington, D.C. Seminar Location

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Related Items

Handbook  Course Handbook Archive

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Location:  Washington, DC
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