2-Day Program

See Credit Details Below


Due to continuing guidance to limit large gatherings of people, and out of concern for our program attendees, faculty and staffPLI and the Securities Exchange Commission have decided to cancel this program. We hope to be able to offer the program later this fall as a live webcast only and will notify you of the new dates as soon as possible. 

Thank you again for your ongoing commitment to PLI and for your understanding at this difficult time.


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.

On Monday - Workshop C: Corporation Finance will be webcast, and Workshop B: Trading and Markets will be audio recorded.
On Tuesday - Workshop E: Enforcement will be webcast, and Workshop G: Investment Management will be audio recorded.

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, July 13, 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

Credit Details

Schedule & Location