shutterstock_720257986 - resized

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

Share this post

I attended the informative and enjoyable 52nd 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


  1. Willena Srygley on December 13, 2019 at 6:10 am

    very nice put up, i certainly love this web site, carry on it

  2. forensic accounting, on July 3, 2020 at 9:39 pm

    Having read this I believed it was rather informative. I appreciate you spending some time and effort to put this informative article together. I once again find myself spending a significant amount of time both reading and posting comments. But so what, it was still worthwhile!

    • Lahdan Rahmati, Esq. on July 5, 2020 at 4:08 am

      Thanks for reading!

  3. Cora on July 5, 2020 at 5:54 am

    Great site you have here but I was wanting to know if you knew
    of any user discussion forums that cover the same topics talked
    about in this article? I’d really love to be a part of community where I can get suggestions from other knowledgeable individuals that share
    the same interest. If you have any recommendations, please let me know.


    • Lahdan Rahmati, Esq. on August 9, 2020 at 2:48 am

      That is great question and I’ll have to get back to you on that. Thanks for stopping by and please visit again soon!

  4. best web hosting on August 8, 2020 at 2:55 am

    whoah this weblog is great i really like studying your articles.
    Keep up the great work! You understand, lots of persons are hunting around
    for this information, you can help them greatly.

    • Lahdan Rahmati, Esq. on August 9, 2020 at 2:29 am

      Thanks for stopping by!

  5. website hosting services on August 8, 2020 at 6:39 pm

    I am really glad to glance at this weblog posts which contains lots of useful facts, thanks for providing these

    • Lahdan Rahmati, Esq. on August 9, 2020 at 2:28 am

      Thanks for stopping by!

  6. web hosting services on August 8, 2020 at 10:03 pm

    With havin so much written content do you ever run into any issues of plagorism
    or copyright infringement? My site has a lot of exclusive content I’ve either authored myself or outsourced but it seems a lot
    of it is popping it up all over the internet without my agreement.

    Do you know any ways to help reduce content from being
    stolen? I’d truly appreciate it.

    • Lahdan Rahmati, Esq. on August 9, 2020 at 2:28 am

      Protect your copyright online by consulting an attorney that specializes in that practice area. Please subscribe to my newsletter and thanks for stopping by!