2-Day Program

See Credit Details Below


Why You Should Attend

PLI is pleased to once again present, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives at the Commission, 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 Investor Advocate, 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 receive answers to your most pressing questions in the smaller breakout workshop sessions at the end of each program day.

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

Workshop A: Compliance Inspections and Examinations
Workshop B: Trading and Markets**
Workshop C: Enforcement*
Workshop D: International Affairs

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

Workshop E: Corporation Finance*
Workshop F: Accounting
Workshop G: Investment Management**
Workshop H (Joint): Municipal Securities and Credit Ratings

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.

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.

Special Features

  • 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, April 8, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org

Program Level: Overview

Intended Audience: In-house counsel, outside attorneys, and other allied professionals who interact with the Securities and Exchange Commission

Prerequisites: None

Advanced Preparation: None 



Credit Details

Schedule & Location