| 8:00–8:45 a.m. | Registration |
|---|---|
| 8:45–9:00 a.m. | Welcome from 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 Since Dodd-Frank John Walsh, 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. | SEC "Transactional" Hot Topics Arising out of Dodd-Frank Patrick Daugherty, Foley & Lardner Martin Dunn, O’Melveny & Myers Mark A. Metz, Dykema Gossett Jennifer Powell, Butzel Long |
| 11:10–11:20 a.m. | Break |
| 11:20 a.m. – 12:20 p.m. | SEC Enforcement Issues Arising Out of the Financial Crisis Terence M. Healy, Assistant Chief Litigation Counsel, U.S. Securities and Exchange Commission Joseph E. Papelian, Deputy General Counsel-Litigation, Delphi Corporation Bradley J. Schram, Hertz Schram |
| 12:20–1:45 p.m. | Lunch and Guest Speaker |
| 1:45–2:45 p.m. | Insider Trading Update 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. | Broker-Dealer Arbitration and Litigation Update Joseph H. Spiegel, Joseph H. Spiegel, PC Felicia Fox, Financial Industry Regulatory Authority Raymond W. Henney, Honigman, Miller, Schwartz & Cohn Mark L. Kowalsky, Jaffe, Raitt, Heuer & Weiss Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone Eric Richards, Mika, Meyers, Beckett & Jones Gary M. Saretsky, Saretsky, Hart, Michaels & Gould Anthony V. Trogan, Anthony V. Trogan PLLC |