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  • SEC Regulation Think-In 2020 - 15 and 16 September 2020

Seminar List for 2020-09-15

13:00 - 13:05

Welcome and Opening Remarks from the Chair

Track:

13:05 - 13:25

Scott Friestad Memorial Address

Track:

13:25 - 13:45

Fireside Chat

Track:

  • Bill Hinman Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
13:45 - 14:45

Key Developments in Capital Formation, Private Placements and Disclosure – Panel

Track:

14:45 - 15:30

Compliance and Examinations

Track:

  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities and Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
  • Mark Berman CEO - CompliGlobe
15:30 - 15:50

Fireside Chat

Track:

  • Brett Redfearn Director, Division of Trading & Markets - U.S. Securities and Exchange Commission
15:50 - 16:40

The markets and SEC and CFTC developments

Track:

  • Emily Westerberg Russell Chief Counsel, Division of Trading & Markets - U.S. Securities and Exchange Commission
  • Dorothy DeWitt Director of the Division of Market Oversight - U.S. Commodity Futures Trading Commission
  • Jim Burns Partner - Willkie, Farr & Gallagher
16:40 - 16:45

Day 1 wrap up

Track: