44th Annual Rocky Mountain Securities Conference

8/2/2019 44th Annual Rocky Mountain Securities Conference

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Co-sponsored by the Securities and ExchangeCommission and the Business Law Section of

the Colorado Bar Association

LIVE PROGRAM ONLY: APRIL 13, 2012At the Denver Marriott City Center 1701 California Street, Denver, CO

The 44th Annual Rocky Mountain Securities Conference provides a

lineup of respected presenters who are well known throughout the

securities profession.

TOPICS INCLUDE:

I Enforcement Views

I The Perspective from the Defense

I Corporate Finance

I Small Cap Financing

I Ethics

I Corporate Governance

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobar.org/cle

The Rocky Mountain Region's PREMIER Securities

Conference - Presented by Many of the Country's

Most Knowledgeable Securities Practitioners!

UNMATCHED

NETWORKING

OPPORTUNITIES!

Hear from local,

statewide andnational practice

leaders!

Submitted for 8 General CLE Credits,

including 1.5 Ethics Credits

UNMATCHED

NETWORKING

OPPORTUNITIES!

Hear from local,

statewide andnational practice

leaders!


2/6

7:15 am Registration

8:00 am Welcoming RemarksDonald Hoerl, Program Chair, Regional Director, Denver Regional Office,

Securities and Exchange Commission

Gary Abrams, Executive Director, Colorado Bar Association CLE

8:15 am KEYNOTE SPEAKER: Commissioner Daniel Gallagher, Securities and

Exchange Commission

Introduction byGeorge Curtis, Partner, Gibson, Dunn & Crutcher, LLP; Former

Deputy Enforcement Director, Securities and Exchange Commission

8:45 am Enforcement Views

Panelists:

Carlo diFlorio, Director, Office of Compliance Inspections and Examinations,


Robert Khuzami, Director, Division of Enforcement, Securities and

Exchange Commission

John Walsh, US Attorney, District of ColoradoModerated by: Donald Hoerl, Regional Director, Denver Regional Office,


9:45 am The Perspective from the Defense

Panelists:

Randall Fons, Partner, Morrison Foerster

Joan McKown, Partner, Jones Day

Holly Sollod, Partner, Holland & Hart LLPDavid Zisser, Of Counsel, Davis Graham & Stubbs LLP

Moderated by: Daniel Shea, Partner, Hogan Lovells

10:45 am Networking Break

You would have to travel to Washington DC orNew York and pay thousands of dollars to find

a conference that offers as much as the Rocky

Mountain Securities Conference does for a

fraction of the cost. Reserve your place and be part

of this very special event right here in Denver!

IF YOU WANT TO GET THE FACTS

FROM THE EXPERTS, DON'T MISSTHIS CONFERENCE!

Co-sponsored by the Securities and Exchange Commission and

the Business Law Section of the Colorado Bar Association

LIVE PROGRAM ONLY:

APRIL 13, 2012Denver Marriott City Center

1701 California Street, Denver, CO

Submitted for 8 General

CLE Credits, including 1.5

Ethics Credits

PROGRAM AGENDA: APRIL 13, 2012

REGISTERTODAY

SEATING ISLIMITED!

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3/6

11:00 am Corporate Finance

Panelists:

Shelly Parratt, Deputy Director, Division of Corporate Finance, Securities and

Exchange Commission

Jason Day, Partner, Perkins Coie Jeffrey Sherman, Special Counsel, Faegre Baker Daniels

Moderated by: John Olson, Partner, Gibson, Dunn & Crutcher, LLP

12:00 pm Lunch Presentation: What Securities Lawyers Need to Know About the

Brave New World of Global Auditing (And Why It Is Changing Main Street)

James Doty, Chairman, Public Company Accounting Oversight Board (PCAOB)

1:15 pm Ethics

Panelists:

Rich Baer, Executive VP and Chief Legal Officer, UnitedHealth Group

John Olson, Gibson, Dunn & Crutcher, LLP

Margaret McLean, Chief Ethics and Compliance Officer, CH2M Hill

Phillip Rudolph, Executive VP, General Counsel & Chief Ethics Officer, Jack in

the Box Inc.

Moderated by: Linda Thomsen, Partner, Davis, Polk & Wardwell, LLP

2:30 pm Corporate Governance

Presented by:

Rich Baer, Executive VP and Chief Legal Officer, UnitedHealth Group

Josiah Hatch, Partner, Ducker, Montgomery, Lewis & Bess, P.C.

John Olson, Partner, Gibson, Dunn & Crutcher, LLP

Moderated by:Cathy Krendl, Partner, Krendl, Krendl, Sachnoff & Way, P.C.

3:30 pm Networking Break

3:45 pm BREAKOUT SESSIONS - Choose 1 of 2

ISmall Cap FinancingPanelists:

Frank Birgfeld, The St. Croix Group LLC

Daniel Jablonsky, Shareholder, Brownstein Hyatt Farber Schreck LLP

Gerald J. Laporte, Chief, Office of Small Business Policy,

Division of Corporation Finance, U.S. Securities and Exchange Commission

Moderated by:Reid Godbolt, Shareholder, Jones & Keller

IRegulated EntitiesPanelists:

Andrew Bowden, Associate Director, Office of Compliance Inspections and

Examinations, Securities and Exchange Commission

Fred Joseph, Commissioner, Colorado Division of Securities

Jacqueline Whelan, Financial Industry Regulatory Authority (FINRA)

Senior Director, Regional Chief CounselModerated by:Kevin Goodman, Associate Regional Director Regulation,


5:00 pm Adjourn

PROGRAM AGENDA: APRIL 13, 2012 continued

The Conference is being held at the Denver Marriott City Center Hotel1701 California Street, Denver, CO 80202

CLE has reserved a small block of rooms for guests of the Conference at the Denver Marriott CityCenter Hotel. Room rates start at $189 plus applicable taxes. Please call 1-800-228-9290 to make

your reservation. When making your reservation, in order to receive the group room rate, pleaseindicate that you are a guest of the 44th Annual Rocky Mountain Securities Conference. Please

make your reservation by March 25, 2012. Rooms will be released after this date.


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FACULTY AND PLANNING COMMITTEE:

PLANNING COMMITTEE:

George Curtis*Partner, Gibson, Dunn &Crutcher, LLP

Former Deputy EnforcementDirector, Securities andExchange CommissionDenver, CO

Donald Hoerl*Program ChairRegional Director, Securitiesand Exchange CommissionDenver, CO

Robert DavenportOf Counsel, Jones & Keller, P.C.Former Regional Director,Securities and ExchangeCommissionDenver, CO

Daniel Shea*Partner, Hogan LovellsFormer Regional Director,Securities and ExchangeCommissionDenver, CO

*also faculty

FACULTY:

Rich BaerExecutive VP and ChiefLegal OfficerUnited HealthcareUnitedHealth GroupMinneapolis, MN

Frank BirgfeldThe St. Croix Group LLCCentennial, CO

Andrew BowdenAssociate Director, Office ofCompliance Inspections andExaminations, Securities andExchange CommissionWashington, DC

Jason DayPartner, Perkins CoieDenver, CO

Carlo diFlorioDirector, Office of Compliance

Inspections and Examinations,Securities and ExchangeCommissionWashington, DC

James DotyChairman, Public CompanyAccounting Oversight Board(PCAOB)

Washington, DC

Commissioner DanielGallagherSecurities and ExchangeCommissionWashington, DC

Randall Fons

Partner, Morrison FoersterFormer Regional Director, SECDenver, CO

Reid GodboltShareholder, Jones & KellerDenver, CO

Kevin Goodman

Associate Regional Director Regulation, Securities andExchange CommissionDenver, CO

Josiah Hatch, IIIPartner, Ducker, Montgomery,Lewis & Bess, P.C.

Denver, CO

Daniel JablonskyShareholder, Brownstein HyattFarber Schreck LLPDenver, CO

Fred JosephBanking and Securities

Commissioner, ColoradoDivision of SecuritiesDenver, CO

Robert KhuzamiDirector, Division ofEnforcement, Securities andExchange CommissionWashington, DC

Cathy KrendlPartner, Krendl, Krendl,Sachnoff & Way, P.C.Denver, CO

Gerald J. LaporteChief, Office of Small BusinessPolicy, Division of CorporationFinance, U.S. Securities andExchange CommissionWashington, DC

Margaret McLeanChief Ethics and ComplianceOfficer, CH2M HillDenver, CO

Joan McKownPartner, Jones DayWashington, DC

John OlsonPartner, Gibson, Dunn &Crutcher, LLPWashington, DC

Shelley ParrattDeputy Director, Division ofCorporation Finance,Securities and ExchangeCommissionWashington, DC

Phillip Rudolph

Executive VP, General Counsel& Chief Ethics OfficerJack in the Box Inc.San Diego, CA

Jeffrey ShermanSpecial Counsel, Faegre BakerDaniels LLP

Denver, COHolly SollodPartner, Holland & Hart LLPDenver, CO

Linda ThomsenPartner, Davis, Polk &Wardwell, LLP

Former Enforcement Director,Securities and ExchangeCommissionWashington, DC

John WalshUS AttorneyDistrict of ColoradoDenver, CO

Jacqueline WhelanFinancial Industry RegulatoryAuthority (FINRA)Senior Director, RegionalChief CounselSan Francisco, CA

David ZisserOf Counsel, Davis Graham &Stubbs LLPDenver, CO

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobar.org/cle


5/6

44TH ANNUAL ROCKY MOUNTAIN SECURITIES CONFERENCE

Register by PHONEwhen using VISA, MC or AmEx

In Denver: (303) 860-0608Toll-Free: (888) 860-2531

Or FAX form towhen using VISA, MC or AmEx

FAX to: (303) 860-0624

Or MAIL form toCLE in Colorado1900 Grant St, Suite 300

Denver, CO 80203-4303

Or Register ONLINEwhen using VISA, MC or AmEx

Go to www.cobar.org/cle

LIVE PROGRAM ORDER FORM

LIVE PROGRAM ONLY: APRIL 13, 2012In Denver at the Denver Marriott City Center, 1701 California Street, Denver, CO 80202

Your course tuition includes:Paper course materials, admission to the entire Conference including lunch.You MUST indicate if you plan to attend the luncheon or one will not be ordered for you. An additional

discountwill be offered to attendees who elect to receive their materials digitally on flash drive.

INDIVIDUAL TUITION: (BL041312L) Additional Savings on Flash Drive Paper Materials Non-Member ..........................................................J $379............................................J $399 CBA Member ..........................................................J $329............................................J $349 Colorado CPA Society Member................................J $329............................................J $349 CBA Business Law Section Member ..........................J $299............................................J $319 Government Attorney ..............................................J $279............................................J $299

LUNCHEON: JYES I will attend the luncheon JI require a vegetarian selectionBREAKOUT SESSIONS 3:45 - 5:00 pm (Select one): J Small Corporate Finance

J Regulated Entities

LIVE PROGRAM ORDER FORM TOTAL $

To receive CLE Credit you must purchase both the course materials AND the recorded seminar. Materials will be

mailed to you approximately 2 weeks after live program.

PAPER COURSE MATERIALS ONLY: (BL041312C) No CLE credit given

J CBA Member: $129 J Non-Member: $159

COURSE MATERIALS AND RECORDED PROGRAM: Full CLE credit given

J CBA Member: $349 J Non-Member: $399

J Recorded Program on CD and Paper Course Materials (BL041312D)

J Online Recorded Program and Downloadable Course MaterialsAvailable online only instructions will be e-mailed to you after registration. Please indicate which recorded program format you prefer:

J Video-On-Demand (BL041312N) JMP3 (BL041312J)

$

$

$

$

$

Price

Shipping & Handling

Subtotal

Applicable Sales Tax (7.72% Denver, 4.1% RTD and 2.9% rest of Colo.)

HOMESTUDY TOTAL

10.00NOTE: Shipping & handling only applies to orders

you receive via mail.

HOMESTUDY ORDER FORM

Name ________________________________________________ Atty. Reg. # ______________________________________________

Firm/Organization____________________________________________________________________________________

E-Mail Address ________________________________________________________________________________________________________________

Street Address __________________________________________________________________________________________________

City ______________________________________________________________State __________ Zip ____________________

Telephone ( ) ______________________________________ Fax ( ) ________________________________

J Enclosed is my check made payable to CBA-CLE J VISA JMasterCard J AmEx

Credit Card # ______________________________________________________________ Exp. Date ________________

Signature ____________________________________________________________________________________________________________________________________________Required for credit card orders

CLE Use Only:

Check #:____________________________

Approval #: ________________________

CANCELLATION POLICY: If you are unable to attend, please notify CBA-CLE by

April 6, 2012 and we will gladly refund your tuition in full or transfer your tuition to

the homestudy. Cancellations after April 6 will be refunded less a $50 cancellation fee.


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REGISTERFORTHISPROGRAM

ONLINE!Gotowww.c

obar.org/cle

TheRockyMountainRegion's

PREMIERSecuritie

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Conference

-PresentedbyMa

nyoftheCountry's

MostKnow

ledgeableSecuritiesPractitioners!

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PostagePaid

PermitNo.

1638

Denver,CO

1900GrantStreet,Suite300,

Denver,Colorado80203-4303

Co-sponsored

bytheSecuritiesandExchangeCommissionan

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theBusinessL

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LIVEPR

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CLECREDITS:

Submittedfor8GeneralCLECredits,includin

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EthicsCredits

LIVEONL

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RegisterToday

Seatingis

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44th Annual Rocky Mountain Securities Conference

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