MSU College of Law

2015 Midwest Securities Law Institute
Course Agenda

Friday, October 16, 2015

8:00–8:45 a.m. Registration
8:45–9:00 a.m.

Dean Joan W. Howarth

Introduction and Summary of Events
Raymond W. Henney, Honigman, Miller, Schwarz and Cohn, Co-Chair
Elliot A. Spoon, Professor of Law in Residence, Michigan State University College of Law, Co-Chair

9:00–10:00 a.m. Developments in Broker-Dealer and Investment Advisor Regulation
Jennifer McCarthy, Assistant Director, Office of Chief Counsel, Office of Compliance Investigations and Examinations, Securities and Exchange Commission
Kris Easter Guidroz, Senior Special Counsel, Office of International Affairs, Securities and Exchange Commission
Shane B. Hansen, Warner, Norcross & Judd
10:00–11:00 a.m. Securities “Transactional” Hot Topics
Martin Dunn, Morrison & Foerster
Mark A. Metz, Dykema Gossett
Peter Sugar, Jaffe, Raitt, Heuer & Weiss
11:00–11:10 a.m. Break
11:10 a.m.–12:25 p.m. SEC Enforcement Update
John Birkenheier, Supervisory Trial Counsel, Securities and Exchange Commission, Chicago Regional Office
David J. Van Havermaat, Senior Trial Counsel, Securities and Exchange Commission, L.A. Regional Office
Richard E. Zuckerman, Honigman, Miller, Schwartz & Cohn
12:25–1:30 p.m. Lunch and Panel from Michigan Department of Licensing and Regulatory Affairs Regarding Proposed Rules under the Michigan Uniform Securities Act
1:30–2:30 p.m. Strategies with Emerging Growth Companies
Lisa Kohl, Legal Branch Chief, Division of Corporation Finance, Securities and Exchange Commission
Michael T. Raymond, Dickinson Wright
John M. Dalfonsi, ROTH Capital Partners
2:30–3:15 p.m. Securities Litigation Developments
Mark L. Kowalsky, Jaffe, Raitt, Heuer & Weiss
Marc L. Newman, The Miller Law Firm
Clarence L. Pozza, Miller Canfield
3:15–3:20 p.m. Break
3:20–4:00 p.m. Securities Arbitration Developments
Felicia Fox, Financial Industry Regulatory Authority
Joseph H. Spiegel, Joseph H. Spiegel, PC
Jonathan M. Sterling, Saretsky, Hart, Michaels & Gould
Eric Richards, Mika Meyers
Anthony V. Trogan, Anthony V. Trogan PLLC