For Additional Program information
Business Law Section
Securities and Exchange Commission
Co-Sponsored by the California Department of Business Oversight
Co-Sponsored by FINRA
Friday, October 25, 2019
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.
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)
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