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Philadelphia Bar Association

Topcap Invite

Date:
Thursday, November 02, 2017

Time:
9:00 AM

Location:
Philadelphia Bar Association
11th Fl. Conference Center
1101 Market St., Aramark Bldg.
Philadelphia, PA 19107

4 SUB/1 ETH

Registration Info:
Registration:
8:30 AM

Program:
9:00 AM - 3:00 PM

Lunch is included with tuition.

CLICK HERE TO REGISTER FOR THIS CLE PROGRAM

Faculty:
Please see the full complement of our expert faculty to the right.

Many thanks to this year's course planners:

William Despo, Esq.
Despo Law Group; Chair, Securities Litigation and Regulatory Enforcement Committee, New Jersey State Bar

Katayun I. Jaffari, Esq., Ballard Spahr LLP

Peter A. Jaslow, Esq., Ballard Spahr LLP

Richard A. Levan, Esq., Levan Legal, LLC

Terry Reilly, Esq., Montgomery McCracken Walker & Rhoads LLP

Joel M. Wertman, Esq., Winget, Spadafora and Schwartzberg, LLP

2017 Securities Litigation & Regulatory Update

CLE - 2017 Securities Litigation & Regulatory Update

Co-hosted by the Philadelphia Bar Association Securities Regulations Committee and the New Jersey Bar Association Securities Law Committee

As regulations continue to change and lawsuits, investigations and enforcement actions continue apace, it is critical that securities practitioners and litigators keep up with the latest developments. Join colleagues from both sides of the Delaware River for an annual update in securities litigation and regulatory practice with a full-day program that explores and profiles significant developments and trends in securities laws.

  • Review the developments of the past year
  • Gain perspective from regulators and prepare for 2018 and beyond
  • See how the new administration affects it all
  • Earn Ethics Credits

Hear from regulators and practitioners regarding latest trends in securities laws and hot topics, related to:

  • Regulatory and enforcement activities
    • What are the significant legal developments of the past year?
    • What will they be looking for in 2018
  • Capital markets
    • What will the new SEC champion?
    • What should we expect from the Choice Act?
  • Broker dealers, investment advisers and funds
    • What are the best-practices and effective strategies to help navigate today's evolving financial environment?
    • What is the current impact of the Department of Labor's Fiduciary Rule?
    • What is the impact of the SEC's considerations of new standards of conduct for broker dealers and investment advisers?
  • Ethics
    • What are the lawyers' obligations for a client's wrongdoing?

    Program Schedule

    Program Introduction and Overview

    Katayun I. Jaffari, Esq., Ballard Spahr LLP

    Broker-Dealer Current Events

    Robert Usinger, Esq., Assistant V.P. , Financial Institutions, One Beacon Insurance Group
    Joel M. Wertman, Esq., Winget, Spadafora and Schwartzberg, LLP
    Susan Oberlies, Esq., Vice President, Corporate Counsel, Lincoln Investment

    Investment Adviser/Investment Company Current Events

    Terry Reilly, Esq., Montgomery McCracken Walker & Rhoads LLP
    Jennifer L. Rodriguez, Esq., Chief Compliance Officer, Toews Corporation, Northfield, NJ

    Corporation Finance Update

    Peter A. Jaslow, Esq., Ballard Spahr LLP
    Korey Pirouz, Esq., Assistant General Counsel, AmerisourceBergen Corporation
    Elizabeth Wideman, Esq., Senior Deputy General Counsel, Comcast Corporation

    Hear from the Regulators

    Richard A. Levan, Esq., Levan Legal, LLC
    Suzanne C. Abt, Esq., Senior Counsel, U.S. Securities and Exchange Commission
    Robert B. Kaplan, Esq., Vice President and District Director, Financial Industry Regulatory Authority (FINRA)
    Amy G. Kopleton, Esq., Deputy Chief, New Jersey Bureau of Securities, Division of Consumer Affairs
    Scott A. Lane, Esq., Senior Deputy Chief Counsel, PA Department of Banking and Securities, Office of Chief Counsel

    Ethics: Whistleblowing General Counsel

    William Despo, Esq., Despo Law Group
    Paul T. Chryssikos, Esq., Vice President, Regulatory & Litigation Counsel, Lincoln Financial Group
    Professor, Jacob H. Russell, Assistant Professor, Rutgers Law School
    Frederick D. Lipman, Esq., Partner, Blank Rome LLP

    Program agenda is subject to change.

    Don't miss this annual update featuring prominent securities litigators and lawyers, high-level enforcement officials, senior in-house counsel and economists!

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    New Jersey State Bar Association

    Bottomcap Invite