On-Demand   Web Segment

The SEC Speaks in 2013

Recorded on: Feb. 25, 2013
Running Time: 01:11:07

Running Time Segment Title Faculty Format
[01:11:07] Enforcement Hon. Harvey L. Pitt ~ Chief Executive Officer, Kalorama Partners, LLC, Kalorama Legal Services, PLLC (Formerly 26th Chairman of the U.S. S.E.C., 2001-2003)
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 ~ Chief of the 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
On-Demand MP3 MP4
Taken from the Web Program The SEC Speaks in 2013 recorded February, 2013 in Washington, D.C.

Lecture Topics 
[01:11:07]

Enforcement 
[01:11:07]
  • Overview and observations
  • Whistleblowers
  • Cooperation program
  • Legal and policy developments
  • Litigation and administrative proceedings
  • Market Abuse: Market structure, technology and trading issues
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Outline: Selected SEC Enforcement Actions, December 2012
    Robert S Khuzami
Speaker(s)
David Bergers ~ Acting Deputy Director, Division of Enforcement, U.S. Securities and Exchange Commission
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Eric Bustillo ~ Regional Director, Miami Regional Office, U.S. Securities and Exchange Commission
George S. Canellos ~ Co-Director, Division of Enforcement, 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 ~ Chief of the Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Matthew T. Martens ~ Chief Litigation Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Jane A. Norberg ~ Deputy Director, Office of the Whistleblowre, U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Chief Executive Officer, Kalorama Partners, LLC, Kalorama Legal Services, PLLC (Formerly 26th Chairman of the U.S. S.E.C., 2001-2003)
Sanjay Wadhwa ~ Senior Associate Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

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