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51st Annual Securities and Regulation Seminar

Please join us as senior Securities and Exchange Commission and U.S. Department of Justice officials, together with representatives of other regulatory agencies and leading private practitioners present a comprehensive review of current events and developments in securities and corporate law.


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Presented By: 
Business & Corporations Section
Securities and Exchange Commission
Co-Sponsored by the California Department of Business Oversight
Co-Sponsored by FINRA

Friday, October 19, 2018

Program Description:

This seminar will include discussions of SEC initiatives, rulemaking and priorities, as well as an overview of judicial, regulatory and enforcement developments, regulatory examination insights from the SEC Office of Compliance Inspections and Examinations, raising capital for small and medium-sized businesses, the SEC whistleblower program, recent developments in mergers & acquisitions transactions, and other matters of interest.

Keynote Speaker:

Robert J. JacksonCommissioner, Securities and Exchange Commission

Partial Speakers List:

Stephanie Avakian, Co-Director, SEC Division of Enforcement
John W. Avery, Office of the General Counsel, SEC
Robert A. Cohen, Chief, SEC Cyber Enforcement Unit
William H. Hinman, Director, SEC Division of Corporation Finance
Ranee Katzenstein, Chief, Major Fraud Unit, U.S. Attorney’s Office, Central District of California
Jane A. Norberg, Chief, SEC Office of the Whistleblower
Steven Peikin, Co-Director, SEC Division of Enforcement
Edward B. Rock, New York University School of Law
Michele Wein Layne, Regional Director, SEC Los Angeles Regional Office
Bryan Bennett, Associate Regional Director – Examinations, SEC Los Angeles Regional Office
John W. Berry, Associate Regional Director – Enforcement, SEC Los Angeles Regional Office
Amy Jane Longo, Regional Trial Counsel, SEC Los Angeles Regional Office
Alka Patel, Associate Regional Director – Enforcement, SEC Los Angeles Regional Office

To View Full Speaker List by Order of Appearance Click Here

Millennium Biltmore Hotel
506 South Grand Avenue
Los Angeles. CA 90071

CLE Credit: 7 hrs. General CLE credit, Including 1 hr. Ethics credit

Valet Parking available at the Biltmore for $24 with validation. Self-Parking is available at the Pershing Square parking garage is $10. Millennium Biltmore Hotel does not provide validation for Pershing Square.

Registration/Breakfast: 8:00- 8:30 a.m.
Program: 8:25 a.m. - 4:30 p.m.


CLE+ Members


Business & Corporations Section Members (After October 10, 2018)


Corporate Law Section Members, (After October 10, 2018)


LACBA Members (After October 5, 2018)


All Others (After October 10, 2018)


Early Bird Registration (Through October 10, 2018)


Early Bird Group of Tickets- Buy 5 Tickets Get 1 Free- 
(Through October 10, 2018)


Early Bird Group of Tickets- Buy 5 Tickets Get 1 Free
(After October 10, 2018)


10/19/2018 8:00 AM - 4:30 PM
Biltmore Hotel 506 S Grand Ave Los Angeles, CA 90071
Registration not available.

LACBA members or registered users, please sign in for member rates and online registration.
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Advance registration (both online and via phone) closes for most programs approximately 12-24 hours before event time (in order to allow for operational considerations), we would still like to have you join us, and you are more than welcome to register on-site and attend, unless the program is specifically noted as SOLD OUT. Full refunds issued only for registrations which are cancelled 48 hours in advance.

The LACBA online event registration system supports registration for individual event participants 24 hours a day, seven days a week. For assistance with group/multiple registrations, or if you’d simply prefer to register by phone (with Visa, MasterCard or American Express), please call LACBA’s Member Services Department at (213) 896-6560 any time from 9:00 a.m. to 4:30 p.m. Monday through Friday. If you have questions about programs or program registration, you’re also welcome to contact Member Services by e-mail at: msd@lacba.org

The Los Angeles County Bar Association is a State Bar of California MCLE approved provider. If this is a CLE event, the Los Angeles County Bar Association certifies that this activity has been approved for MCLE credit. CLE events will state the amount and type of credit offered in the calendar listing.