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The SEC and Dodd-Frank After One Year

2011 Midwest Securities Law Institute

October 14, 2011, 8:00am EST
East Lansing, MI
Corner of Shaw and Bogue
368 Law College Building
East Lansing, Michigan 48824

Sponsor: Michigan State University College of Law

Sponsored by the Business Law Section of the State Bar of MichiganFriday, October 14, 2011

  • Join your colleagues in examining current issues in securities regulation
  • Receive updates from the Securities and Exchange Commission and the Financial Industry Regulatory Authority
  • Hear from leading experts in securities law and securities litigation

Please Register by October 7, 2011Registration fee:  $125, including refreshment breaks and lunch. There is no conference fee for students; however, students who wish to attend the lunch will be charged $15.You may register by:Phone 517/432-6955
Online at http://www.law.msu.edu/securities/
(Payment by credit card)If you have questions, special needs, or disabilities that require specific aids or services during the Institute, please call 517/432-6955.Course Agenda8:00–8:45 a.m.8:45–9:00 a.m.9:00–10:00 a.m.10:00–11:10 a.m.11:10–11:20 a.m.11:20 a.m. – 12:20 p.m.12:20–1:45 p.m.1:45–2:45 p.m.2:45–3:00 p.m.3:00–4:15 p.m.


Welcome from Dean Joan W. Howarth
Introduction and Summary of Events

  • Joseph H. Spiegel, Co-Chair
  • Elliot A. Spoon, Co-Chair

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

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


SEC Enforcement Issues Arising Out of the Financial Crisis

  • Terence M. Healey, Assistant Chief Litigation Counsel, U.S. Securities and Exchange Commission
  • Joseph E. Papelian, Deputy General Counsel-Litigation, Delphi Corporation
  • Bradley J. Schram, Hertz Schram

Lunch and Guest Speaker

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


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. Trogran PLLC