Securities Enforcement Coordination Conference
United States
Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Division of Enforcement
Securities Enforcement Coordination Conference
March 23-24, 2009, Washington D.C.
The Division of Enforcement of the Securities and Exchange Commission is sponsoring a two-day conference on coordinating civil and criminal securities enforcement actions. I am pleased to invite your agency to send delegates who work in this area to the conference.
As you know, prosecutions of securities violations have become an increasingly visible and important part of maintaining and restoring investor confidence in the securities markets. This program will review major types of securities violations, analyze current trends, and discuss legal, policy and practical issues related to the coordination of securities cases. We believe the opportunity to meet and discuss these topics with all of you who work in this area will benefit us all.
Enclosed is a list of proposed topics for the conference, along with instructions for registration. If there is a topic or an issue of particular interest to your agency that you would like covered at the conference, please note it on your registration. We will make every effort to make the conference meaningful and useful to everyone. I look forward to seeing your delegates in Washington in March.
The deadline for registration is February 27, 2009.
Proposed Topics
Overview of the Commission
- Organization of the Commission
- The Roles of the SEC’s various Divisions and Offices
- Enforcement Contacts in the SEC’s Regional and District offices
Review of major securities violations and recent cases and schemes
- Investment Adviser Violations
- Financial Fraud
- Insider Trading
- Broker-Dealer Violations
- Offering Fraud
- Market Manipulation
Coordinating civil and criminal cases
- Civil v. Criminal Cases: What makes a good criminal case
- Parallel Civil and Criminal Cases
- The SEC as a Resource
- Working Together: Now and in the Future
Registration Information
Who should attend?: The Coordination Conference is designed for staff at both criminal and civil agencies who are involved in the enforcement of securities laws.
Location: The Conference will take place at the Commission’s Headquarters, located at 100 F Street N.E., Washington, D.C. 20549
Schedule: The Conference will begin at 9:30 a.m. and end at 5:00 p.m. each day. Doors open for registration on Monday, March 23, 2009 at 9:00 a.m.
Cost: There is no registration fee. Participants are expected to arrange and pay for all transportation, accommodations and subsistence expenses.
Questions: If you have questions or need further information, please send an e-mail to SECconference@sec.gov.
Registration: The registration deadline is February 27, 2009.
To register, send an e-mail containing the following information to:
SECconference@sec.gov, Subject: Participant Registration
Please include the following information:
Agency
Name
Address
Agency Point of Contact
Name
Title
E-mail address
Telephone number
Fax number
Proposed Participant(s)
Name
Title
E-mail address
Telephone number
http://www.sec.gov/divisions/enforce/enfcoordconf.htm
