| 8:00–8:45 a.m. | Registration |
|---|---|
| 8:45–9:00 a.m. | Welcome Dean Joan W. Howarth Introduction and Summary of Events Joseph H. Spiegel, Co-Chair Elliot A. Spoon, Co-Chair |
| 9:00–10:00 a.m. | Developments in Broker-Dealer and Investment Adviser Regulation Paula Drake, Chief Counsel, Office of Compliance Investigations and Examinations, Securities and Exchange Commission Hugh H. Makens, Warner, Norcross & Judd William C. Alsover, Alsover Business Consulting |
| 10:00–11:10 a.m. | Broker-Dealer Arbitration and Litigation Update Joseph H. Spiegel, Joseph H. Spiegel PC Felicia Fox, Financial Industry Regulatory Authority John A. Hubbard, Hubbard Snitchler & Parzianello Mark L. Kowalsky, Jaffe, Raitt, Heuer & Weiss Anthony V. Trogan, Anthony V. Trogan PLLC |
| 11:10–11:20 a.m. | Break |
| 11:20 a.m.–12:20 p.m. | SEC Enforcement Strategy John Birkenheier, Supervisory Trial Counsel, U.S. Securities and Exchange Commission, Chicago Regional Office Raymond W. Henney, Honigman, Miller, Schwartz & Cohn Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone |
| 12:20–1:45 p.m. | Lunch and Guest Speaker Diane Bissell, Deputy Commissioner, Securities Division, State of Michigan |
| 1:45–2:45 p.m. | Insider Trading David J. Van Havermaat, Senior Trial Counsel, U.S. Securities and Exchange Commission, L.A. Regional Office Nils Kessler, Assistant U.S. Attorney, Western District of Michigan Richard E. Zuckerman, Honigman, Miller, Schwartz & Cohn |
| 2:45–3:00 p.m. | Break |
| 3:00–4:15 p.m. | SEC "Transactional" Hot Topics Jennifer Consiglio, Butzel Long Patrick Daugherty, Foley & Lardner Martin Dunn, O’Melveny & Myers Mark A. Metz, Dykema Gossett |