42nd Annual Rocky Mountain Securities Conference Tomorrow

This blog will cover tomorrow’s Rocky Mountain Securities Conference in Denver, Colorado.  Among the other excellent presentations, the event showcases Commissioner Elisse Walter in the morning.  She will discuss the SEC’s future and efforts to deal with further market regulation and investor protection.  Our very own Professor Jay Brown will respond to Commissioner Walter’s remarks. 

The conference also features former Commissioner Harvey Pitt alongside current and former SEC Directors George Curtis, Robert Davenport, Carlo di Florio, Randall Fons, Donald Hoerl, Henry Hu, Daniel F. Shea, and Stanley J. Sporkin.  The remaining members of the faculty include FINRA Vice Chairman Stephen Luparello, Deputy and Associate Regional Directors of various SEC divisions, and many distinguished private practitioners.

Enforcement and coping with an enforcement environment is a topic of particular interest to this blogger (as a former SEC intern).  Panelists will detail the new structure of the SEC’s Enforcement Branch, which recently created specialized groups focusing in five different areas and eliminated the position of Branch Chief.  Seeing if these changes have muddled or streamlined things within the Enforcement Division is a very important issue, especially given the heightened enforcement environment.