52nd Annual Securities 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 Law Section
Securities and Exchange Commission
Co-Sponsored by the California Department of Business Oversight
Co-Sponsored by FINRA

Friday, October 25, 2019

Program Description:

This seminar will include discussions of SEC initiatives, rulemaking and priorities, as well as an overview of judicial, regulatory and enforcement developments, cyber regulation and enforcement, regulation of investment advisors and broker/dealers, recent developments in mergers & acquisitions transactions, and other matters of interest.

Keynote Speaker:

Robert J. Jackson, Jr., Commissioner, Securities and Exchange Commission

Partial Speakers List: 

Steven Peikin, Co-Director, SEC Division of Enforcement
Nicola T. Hanna, U.S. Attorney for the Central District of California
John W. Avery, Office of the General Counsel, SEC
David Frederickson, Chief Counsel, FinHub – SEC Division of Corporation Finance
Adam C. Pritchard,University of Michigan Law School
Michele Wein Layne, Regional Director, SEC Los Angeles Regional Office
Ranee Katzenstein, Chief, Major Fraud Unit, U.S. Attorney’s Office, Central District of California
Bryan Bennett, Associate Regional Director – Examinations, SEC Los Angeles Regional Office
Alka Patel, Associate Regional Director – Enforcement, SEC Los Angeles Regional Office
Diana Tani, Assistant Director - Cyber Enforcement Unit, SEC Los Angeles Regional Office
David Greene, District Director, FINRA LA 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. Millennium Biltmore Hotel does not provide validation for Pershing Square.

Registration/Breakfast: 8:00- 8:30 a.m.
Program: 8:25 a.m. - 5:00 p.m.
Reception: 5:00 p.m. - 7:00 p.m.


CLE+ Members with Meal


Business Law Section Members (After October 4, 2019)


LACBA Members (After October 4, 2019)


All Others (After October 4, 2019)


Early Bird Group of Tickets- Buy 5 Tickets Get 1 Free-
(After October 4, 2019)


10/25/2019 8:00 AM - 7:00 PM
Millennium Biltmore Hotel 506 South Grand Avenue Los Angeles, CA 90071
Online registration not available.

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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.