On-Demand   Web Segment

The SEC Speaks in 2014

Recorded on: Feb. 25, 2014
Running Time: 01:02:01

Running Time Segment Title Faculty Format
[01:02:01] Enforcement Matthew C. Solomon ~ Chief Litigation Counsel, US Securities and Exchange Commission
Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
Charlotte L Buford ~ Assistant Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Locke Lord Edwards LLP
David R. Woodcock ~ Regional Director - FWRO and Chair of the Financial Reporting and Audit Task Force, US Securities and Exchange Commission
Jina L Choi ~ Regional Director- SFRO, US Securities and Exchange Commission
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:00:41] Workshops: Workshop C: Enforcement Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Marshall S Sprung ~ Co-Chief of the Asset Management Unit, US Securities and Exchange Commission
Daniel M. Hawke ~ Chief of the Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael D. Paley ~ Assistant Director - NYRO and Co-Chair of the Microcap Fraud Task Force, US Securities and Exchange Commission
Kara N. Brockmeyer ~ Chief, FCPA Unit; Division of Enforcement, Securities and Exchange Commission
LeeAnn G. Gaunt ~ Chief of the Municipal Securities and Public Pensions Unit, US Securities and Exchange Commission
Michael J. Osnato, Jr. ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Elisha L. Frank ~ Assistant Regional Director - MIRO and Co-Chair of the Microcap Fraud Task Force, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:01:31] Workshops: Workshop G: Corporation Finance Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Karen J. Garnett ~ Associate Director, Disclosure Operations, Division of Corporate Finance, U.S. Securities and Exchange Commission
Anne Parker ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Dietrich A. King ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Patrick Gilmore ~ Accounting Branch Chief, US Securities and Exchange Commission
Rufus Decker ~ Accounting Branch Chief, US Securities and Exchange Commission
Kevin L. Vaughn ~ Branch Chief - Division of Corporation Finance, US Securities and Exchange Commission
On-Demand MP3 MP4
Taken from the Web Program The SEC Speaks in 2014 recorded February, 2014 in Washington.

Lecture Topics  [01:02:01]

Enforcement  [01:02:01]
  • Overview and observations
  • Legal and policy developments
  • Litigation developments
  • Financial reporting and audit matters
  • Enforcement priorities
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Outline of Selected SEC Enforcement Actions, May 2013
Speaker(s)
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Charlotte L Buford ~ Assistant Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Hon. Roel C. Campos ~ Locke Lord Edwards LLP
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jina L Choi ~ Regional Director- SFRO, US Securities and Exchange Commission
Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
Matthew C. Solomon ~ Chief Litigation Counsel, US Securities and Exchange Commission
David R. Woodcock ~ Regional Director - FWRO and Chair of the Financial Reporting and Audit Task Force, US Securities and Exchange Commission

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