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Why You Should Attend
Each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives, as well as the priorities of the Commission for the coming year. At this unique program, you will hear remarks by the Chairman, and Commissioners, and the Investor and Small Business Capital Advocates, as well as panel discussions by senior staff at the Divisions of Corporation Finance, Economic and Risk Analysis, Enforcement, Investment Management, and Trading and Markets, and the Offices of the Chief Accountant, General Counsel, Compliance Inspections and Examinations, Municipal Securities, Credit Ratings, and International Affairs. You will also hear commentary from former Chairmen and Commissioners and have the opportunity to ask questions in the smaller breakout workshops each day.
On Monday, registrants may attend one of the following Workshops:
Workshop A: Compliance Inspections and Examinations
Workshop B: Trading & Markets
Workshop C: Corporation Finance
Workshop D: International Affairs
On Tuesday, registrants may attend one of the following Workshops:
Workshop E: Enforcement
Workshop F: Accounting
Workshop G: Investment Management
Workshop H (Joint): Credit Ratings and Municipal Securities
* Please note: One Workshop will be Webcast live each day and One Workshop will be audio recorded and made available as part of the archive.
• All attendees and speakers are invited to a cocktail reception on Monday evening, immediately following the afternoon session.
• The Association of Securities and Exchange Commission Alumni, Inc. (ASECA) will give its annual dinner on Monday, March 30, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org
Who Should Attend
Securities and corporate attorneys in private practice or in-house, CEOs, CFOs, and others in senior management involved in decision-making impacted by securities laws.
Program Level: Overview
Intended Audience: In-house counsel, outside attorneys, and other allied professionals who interact with the Securities and Exchange Commission
Prerequisites: An interest in the Securities and Exchange Commission
Advanced Preparation: None