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A brochure for UK/CLE's 16th Biennial Midwest/Midsouth Securities Law Conference, which will be held February 9 & 10, 2012, in Louisville, Kentucky. To view a larger version of this brochure on our website, please visit http://ukcle.com/Securities2012Brochure.pdf To register for this conference or get more information, please call our office at (859) 257-2921.
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The Midwest/Midsouth Securities Law Conference has enjoyed a growing reputation for over three decades. Dedicated exclusively to securities law, the 2012 conference features speakers from across the region and pro-vides a broad overview of developments since the past biennium, including key issues covering both public and private offerings.
Since 1981 this event has offered practical instruction on current developments and trends in securities law practice. Louisville’s Brown Hotel provides a comfortable, easily accessed site for both formal instruction and informal discussions among speakers and conferees.
16th Biennial Midwest/Midsouth
Securities Law ConferenceFebruary 9 & 10, 2012
The Brown HotelLouisville, Kentucky
REGISTER NOW AND TAKE ADVANTAGE OF . . .• Criticalinsightsandupdatesforelevenkeytopicsinaconvenient1-1/2dayconferenceformat
• 10hours(ormore,dependingonjurisdiction)continuingeducationcredit
• Contrastingviewsofmanydifferentspeakersfromacrosstheregion
• Quality,well-organizedwrittenmaterials
• PracticalinstructiongivingyouCLEyoucanuse!
• ComplimentaryregistrantluncheonsponsoredbytheKBABusinessLawSection
16th Biennial
Midwest/Midsouth
SECURITIES LAW CONFERENCE
Comments from prior Securities Law Conference Registrants:
10 CLE Credits, Including 1 Hour of Ethics
University of KentuckyOffice of Continuing Legal Education
Thursday and Friday February 9 & 10, 2012
The Brown HotelLouisville, Kentucky
University of Kentucky Office of Continuing Legal EducationCLE Suite, Room 20 Law BuildingCollege of LawLexington, KY 40506-0048
An Equal Opportunity University
10 CLE credits, including 1 hour of ethics
“This is the fourth or fifth of these seminars that I have
attended, and I believe it is one of the finest.”
“The practical examples were wonderful and very
welcome.”
“An exceptional program. This has grown to become one of the best securities
conferences in the nation.”
Sponsored by:University of Kentucky College of LawOfficeofContinuingLegalEducation
In Cooperation with:TheKBABusinessLawSection
REGISTRATION INFORMATIONThe advance registration fee includes attendance for all sessions, all course materials, Thursday’sluncheon,andrefreshments.Pre-registrationisstronglyrecommended.Ifyoucancel,afullrefundoftuition(less$50administrativecharge)isgivenupto4:30p.m.EST,February7,2012.Ifyouwantcoursematerialsaftercancellation,theywillbemailedaftertheseminarandthecostwillbedeductedfromyourrefund.Norefundsareavailableforcancellationsafterthedeadline;however,materialswillbeforwardedimmediately in full consideration for tuition paid. Registrations are transferrable and substitution of registrants may be made any time before the seminar begins.
SEMINAR LOCATION AND ACCOMMODATIONSTheconferencewillbeheldatTheBrownHotel, locatedat335WestBroadway indowntownLouisville.Parkingisavailableinacitygarageconnectedtothehotelbyanenclosedwalkway.TheGaragecanbeenteredfrom3rdSt.goingsouthor4thSt.goingnorth.AroomblockhasbeenreservedatTheBrownHotel.The room block will expire January 9, 2012.Reservationscanbemadebycalling(502)583-1234or1-888-888-5252.PleasebesuretoidentifyyourselfasbeingwithUniversityofKentuckyContinuingLegalEducation.
PERSONS WITH DISABILITIESWewillmakeeveryefforttoensurethatmeetingsareheldatfacilitieswhicharefullyaccessibletopersonswithmobilitydisabilities.Ifyouplantoattendourprogramand will need other special facilities or assistance relating to a disability, please contact usat(859)257-2921.
CONTINUING EDUCATION CREDITThis course should qualify for 10 hours of credit, including 1 ethics credit, for 60 minute statesincluding,Kentucky,Indiana,andTennessee.50minutestates(includingWestVirginia)shouldconfirmapproximately12hours,including1ethicshour.
ADDITIONAL INFORMATIONWriteor call theOfficeofContinuingLegalEducation,Suite20LawBuilding,UniversityofKentucky,Lexington,KY40506-0048,(859)257-2921orvisitourwebsite at www.ukcle.com if you need additional information or assistance.
16th Biennial Midwest/Midsouth Securities Law Conference
Thursday & Friday February 9 & 10, 2012 – Louisville, Kentucky
Name E-mailAddress
Firm/Affiliation PhoneNumber
StreetAddress(Mailing & Shipping) City State Zip
Foryourprotection,allcreditcardinformationmustbetakenoverthephone.Pleasecallusat(859)257-2921toregisterwithacreditcard.
Make checks payable to the University of Kentuckyandmailto:OfficeofContinuingLegalEducation•Suite20LawBuilding•UniversityofKentucky•Lexington,KY40506-0048PHONE:(859)257-2921 FAX:(859)323-9790 WEBSITE:www.ukcle.com
Please note that a $25.00 fee will be charged for all returned checks.
Rec
For Office Use Doc # Amt
Method of Payment
(circle one)
MasterCardVisa
CheckSorry, we are unable
to accept American Express or
DiscoverCard
Program Planning Committee
C. Craig Bradley, Jr.Stites&HarbisonPLLC
Louisville, Kentucky
KevinP.Bucknam Director,UK/CLE
Lexington, Kentucky
Rutheford B Campbell, Jr.Professor,UniversityofKentucky
College of LawLexington, Kentucky
JamesA.GieselFrostBrownToddLLC
Louisville, Kentucky
DavidW.HarperAttorneyatLaw
Louisville, Kentucky
JuneNalleyKingGreenebaum Doll &McDonaldPLLCLouisville, Kentucky
CliffordA.Roe,Jr.Dinsmore&ShohlLLPCincinnati, Ohio
Gary L. StageFlemingStageLLCIndianapolis,Indiana
J.AllenOverbyBass,Berry&SimsPLCNashville,Tennessee
ManningG.Warren,IIIProfessor,UniversityofLouisvilleSchool of LawLouisville, Kentucky
Cynthia W. Young – Conference ChairWyattTarrant&CombsLLP
Louisville, Kentucky
FRIDAY, FEBRUARY 10, 20128:00 a.m. Continental Breakfast
8:30 a.m. A “Business Law” Update for the Securities LawyerChristopher W.D. JonesGreenebaum, Doll & McDonald PLLCLouisville, Kentucky
9:30 a.m. Agreements Among Stockholders/Investors and IssuersDavid W. HarperAttorney at Law Louisville, Kentucky
10:30 a.m. Morning Break
10:45 a.m. Employment Benefits: A Primer on Section 409AAlison M. StemlerFrost Brown Todd LLC Louisville, Kentucky
11:35 a.m. Ethics for the Securities Law PractitionerCynthia W. YoungWyatt Tarrant & Combs LLP Louisville, Kentucky
12:35 p.m. Conference Adjourns
SECURITIES LAW CONFERENCE16th Biennial Midwest/Midsouth % UK/CLE wishes to thank the
KBA Business Law Section for its sponsorship of funds
for this conference.THURSDAY, FEBRUARY 9, 20127:30 a.m. Registration Table Opens /
Continental Breakfast
8:20 a.m. Welcome & AnnouncementsCynthia W. Young, Conference Chair Wyatt Tarrant & Combs LLPLouisville, Kentucky
8:30 a.m. The Year in Review: Recent Developments and Current Issues Facing the Securities PractitionerC. Craig Bradley, Jr.Stites & Harbison PLLCLouisville, Kentucky
9:30 a.m. Update from the SECJeffrey J. MintonUS Securities and Exchange CommissionWashington, D.C.
10:30 a.m. Morning Break
10:45 a.m. Preparing for the 2012 Proxy SeasonKevin H. DouglasBass, Berry & Sims PLCNashville, Tennessee
11:30 a.m. A Review of and Suggested Updates to Listed Risk FactorsRobert L. Maddox, IIIDinsmore & Shohl LLPLouisville, Kentucky
12:20 p.m. Lunch BreakKBA Business Law Section Annual Meeting
1:30 p.m. Post-Luncheon Break
1:45 p.m. State Securities Regulation: Kentucky, Ohio, Indiana, TennesseeChris NaylorIndiana Securities CommissionerIndianapolis, IndianaBarbara A. DoakDepartment of Commerce and InsuranceNashville, TennesseeColleen KeefeDepartment of Financial InstitutionsFrankfort, KentuckyAndrea SeidtCommissioner, Ohio Division of SecuritiesColumbus, Ohio
2:45 p.m. Afternoon Break
3:00 p.m. Public Companies and Good Corporate Governance: The Use of Codes of Conduct and EthicsJune N. KingGreenebaum Doll & McDonald PLLCLouisville, Kentucky
3:30 p.m. The Wreck of Regulation DRutheford B Campbell, Jr.Professor, University of Kentucky College of LawLexington, Kentucky
4:30 p.m. Recess Institute
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PleaseregistermefortheSecuritiesLawConferenceonThursdayandFriday,February9&10,2012.Icannotattendbutpleasesendme____copiesof the conference materials at $55.00 per copy. Choose one: ___CD-ROM___hardcopy (Kentuckyresidents,pleaseadd6%salestaxforatotalof$58.30)I want my course materials on CD-ROM only.
IencloseConferenceTuitionof$325 ($385atdoor).
I want a hard copy of the course materials.IencloseConferenceTuitionof$375 ($400atdoor).
Go Green and SAVE!
Luncheon sponsored by the KBA Business Law Section