MSU College of Law

2016 Midwest Securities Law Institute
Course Agenda

Friday, October 21, 2016

8:00-8:45 Registration & Breakfast
8:45-9:00 Welcome
Dean Kristi Bowman, Associate Dean for Academic Affairs & Professor of Law, Michigan State University College of Law
Raymond W. Henney, Institute Co-Chair, Honigman Miller Schwartz and Cohn
Elliot A. Spoon, Institute Co-Chair, Michigan State University College of Law
9:00-10:00 Developments in Broker-Dealer and Investment Advisor Regulation Jennifer McCarthy, Securities and Exchange Commission
Kris Easter Guidroz, Securities and Exchange Commission
Shane B. Hansen, Warner Norcross & Judd
10:00-11:00 Compliance Officer Perspectives on Broker-Dealer and Investment Adviser Regulation
Florence Affatato, Portfolio Solutions
Amy Eisenbeis, Clarkston Capital Partners
Kimberlee Levy, Concorde Investment Services
Andrea McGrew, USA Financial
11:00-11:10 Break
11:10-12:15 Securities “Transactional” Hot Topics
Martin Dunn, Morrison & Foerster
Mark A. Metz, Dykema Gossett
Peter Sugar, Jaffe, Raitt, Heuer & Weiss
12:15-1:25 Lunch and Panel from State of Michigan LARA Discussing Current Regulatory and Enforcement Issues
1:30-2:30 SEC Enforcement Update
John Birkenheier, Securities and Exchange Commission
David J. Van Havermaat, Securities and Exchange Commission
Richard E. Zuckerman, Honigman Miller Schwartz & Cohn
2:30-3:15 Securities Litigation Developments
Thomas G. McNeil, Dickinson Wright
Marc L. Newman, The Miller Law Firm
Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone
3:15-4:00 Securities Arbitration Developments
Felicia Fox, Financial Industry Regulatory Authority
Gary M. Saretsky, Saretsky, Hart, Michaels & Gould
Joseph H. Spiegel, Joseph H. Spiegel, PC