6 Part Series: Highlights from LACBA’s 52nd Annual Securities Regulation Seminar

I attended the informative and enjoyable 52^nd Annual Securities Regulation Seminar (Seminar) sponsored by the Business & Corporations Law Section of the Los Angeles County Bar Association and the U.S. Securities and Exchange Commission (SEC), and co-sponsored by the California Department of Business Oversight and FINRA at the Millennium Biltmore Hotel in Downtown Los Angeles. 

SEC Commissioner Robert R. Jackson, Jr. was the energetic keynote speaker and the program speakers were senior officials at the SEC and the U.S. Attorney’s Office, distinguished members of the bar and legal scholars.  This was my second year in attendance and I plan to continue attending this fabulous annual event.  A lot of information was covered so I plan on blogging on the Seminar in multiple parts. 

Part 1 will cover Opening Remarks by SEC Chair Jay Clayton.

Part 2 will cover Legislative, Regulatory and Legal Developments in Securities Laws: A discussion of recent developments in securities laws from the SEC General Counsel’s perspective with the following speakers:

• Simon Lorne, Vice Chair, Millennium Management LLC (Moderator)
• John W. Avery, Deputy Solicitor, SEC Office of the General Counsel
• Adam C. Pritchard, Professor, University of Michigan Law School

Part 3 will cover Enforcement Developments: A review of SEC and DOJ national and regional enforcement trends and priorities with the following speakers:

• John F. Hartigan. Morgan, Lewis & Bockius LLP (Moderator and Program Chair)
• Nicola T. Hanna, U.S. Attorney for the Central District of California
• Steven Peikin, Co-Director, SEC Division of Enforcement
• Michele Wein Layne, Regional Director, SEC Los Angeles Regional Office

Part 4 will cover SEC Update – Division of Corporation Finance: A discussion of recent developments, including regulation reduction and other initiatives of the Division of Corporation Finance with the following speakers:

• Jonathan K. Layne, Gibson, Dunn & Crutcher LLP (Moderator)
• David Fredrickson, Chief Counsel, SEC Division of Corporation Finance,
• Gregg A. Noel, Skadden, Arps, Slate, Meagher & Flom LLP

Part 5 will cover Keynote Speaker, SEC Commissioner Robert J. Jackson, Jr.

Part 6 will cover Cyber Regulation and Enforcement: A discussion of SEC priorities, regulation, guidance and cyber enforcement initiatives, cryptocurrency and ICOs with the following speakers:

• Nicolas Morgan, Paul Hastings LLP (Moderator)
• Katherine J. Blair, Manatt, Phelps & Phillips LLP
• David Fredrickson, Chief Counsel, SEC Division of Corporation Finance
• Diana Tani, Assistant Director, Cyber Enforcement Unit, SEC Los Angeles Regional Office

Part 6 will also cover Enforcement Workshop: A discussion of recent enforcement trends and focus of the SEC and the DOJ.

• John W. Spiegel, Munger, Tolles & Olson LLP (Moderator)
• Katharine E. Zoladz, Associate Regional Director – Enforcement, SEC Los Angeles Regional Office
• Nicolas Morgan, Paul Hastings LLP