49th Annual Rocky Mountain Securities Conference

When:
May 5, 2017 @ 8:15 am – 4:50 pm
2017-05-05T08:15:00-06:00
2017-05-05T16:50:00-06:00
Where:
Denver Marriott City Center
1701 California St
Denver, CO 80202
USA
Contact:
303-860-0608

DENVER, CO 8:15 AM – 4:50 PM

Join us at the 49th Annual Rocky Mountain Securities Conference on May 5, 2017 in Denver, CO. This conference features a line-up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community. Hein’s Jake Vossen is a moderator in the afternoon at the conference.

CBA-CLE logo

Friday, May 5, 2017
8:15 a.m. – 4:50 p.m.

Denver Marriott City Center
1701 California Street
Denver, CO 80202

TOPICS/LEARNING OBJECTIVES

  • What’s Ahead for Regulation and the SEC?
  • SEC Enforcement — Current Priorities and Litigation Update
  • Regulated Entities — Industry Developments and SEC’s National Examination
  • Corporation Finance: Policy Update and Regulatory Agenda
  • Professionalism in the Securities Industry: Liability of Gatekeepers
  • Investment Advisers and Private Funds
  • New Perspectives on Capital Formation for Small Business
  • Current Considerations for Corporate Transactions
  • Current Trends in Securities and White Collar Defense
  • General Counsel Viewpoints
  • Accounting and Audit Issues: Hot Topics and Important Updates
  • Ethical Issues for Securities Industry Professionals

AGENDA

Click here to download the full agenda.

MORE INFORMATION

For more information on this conference please contact CLE at (303) 860-0608.