Addressing the Challenges of Protecting the Public: Enforcement Practices and Policies in the Post-Financial Crisis Era

Date: March 15, 2013
Time: 8:45 a.m. - 4:45 p.m.
Place: Room 114, College of Law
CLE: 6.5 general CLE credit has been approved for OH and KY
View webcast here: 2013 Symposium

Questions? Email them to the presenters at corporatelawsymposium@law.uc.edu. Questions will be addressed during the symposium.

View Program & Brochure

The 2008 financial crisis and its aftermath put extraordinary pressure on government and industry regulators to punish offenders, deter future violations and obtain compensation for victims. How have they measured up?  This symposium will focus on current practices and policies involving government and industry enforcement of securities laws and other regulatory statutes intended to protect the public, with special emphasis on the Securities and Exchange Commission, state securities regulators and the Financial Industry Regulatory Authority (FINRA).

Agenda

8:45-9:00 - Welcome, Dean Louis Bilionis

9:00-11:00 - Panel I: Securities Enforcement: the SEC and FINRA

Moderator:  Verity Winship

• Douglas Branson, SEC Enforcement: A New Era for Broker-Dealer Regulation
• Jennifer Johnson, Sinking in the Sea Change?  FINRA and the Regulation of Non-Public Offerings
• Renee Jones, Utilizing the Director Bar to Enforce Corporate Accountability
• Geoffrey Rapp, An Analysis of the SEC’s New Office of Market Intelligence

11:00-11:15 - Break

11:15-12:15 - Distinguished Guest Speaker: David M. Becker

Mr. Becker will discuss the challenges facing the SEC from the vantage point of his many years of experience both in private practice and in senior policy positions at the SEC.

12:15-1 p.m. - Lunch

1:00-2:45 - Panel II: Policy Implications in Public Enforcement

Moderator:  Amanda M. Rose

• Samuel Buell,  Liability and Admissions of Wrongdoing in Public Enforcement of Law
• J.W. Verret, Overcriminalization and its Consequences
• Adam Zimmerman, Executive Branch Compensation Settlements      

2:45-3:00 - Break

3:00-4:45 -State Securities Regulation Roundtable

A panel discusses cutting-edge issues that especially concern state securities regulators.    

 Moderator:     

• Joseph Brady, General Counsel, North American Securities Administrators Association
• Chris Naylor, Indiana Securities Commissioner
• Andrea L. Seidt, Commissioner, Ohio Dept. of Commerce, Division of Securities

Symposium Speakers:

• Jayne W. Barnard, William & Mary College of Law
• David Becker, Cleary Gottlieb Steen & Hamilton LLP; Former General Counsel and Senior Policy Director, Securities and Exchange Commission
• Joseph Brady, General Counsel, North American Securities Administrators Association
• Douglas M. Branson, University of Pittsburgh School of Law
• Samuel W. Buell, Duke University School of Law
• Henry N. Butler, George Mason University School of Law
• Jennifer J. Johnson, Lewis and Clark Law School
• Renee M. Jones, Boston College
• Chris Naylor, Indiana Securities Commissioner
• Geoffrey C. Rapp, University of Toledo College of Law
• Amanda M. Rose, Vanderbilt University Law School
• Andrea L. Seidt, Commissioner, Ohio Dept. of Commerce, Division of Securities
• J.W. Verret, George Mason University School of Law
• Verity Winship, University of Illinois College of Law
• Adam S. Zimmerman, Saint John’s University School of Law

Check back for information about additional speakers.

Please contact Lori Strait at 513.556.0117 / lori.strait@uc.edu with questions and to register.