48TH ANNUAL

Rocky Mountain Securities ConferenceLIVE PROGRAM & LIVE WEBCAST: FRIDAY, MAY 6, 2016Live Program at the Denver Marriott City Center 1701 California Street, Denver, CO

TOPICS INCLUDE:■ Enforcement Update: Priorities, Legal Issues, and Recent Significant Cases ■ Defense Perspective■ Corporation Finance: Analysis of Recent Rulemakings, Policies and Issues■ Flash Course – Municipal Securities: Current Regulatory and Enforcement Initiatives■ General Counsel Roundtable and Corporate Governance Update■ Ethics in the Securities Industry – A Conversation■ Regulated Entities: Developments and Hot Topics ■ Flash Course – Update on Dodd Frank Mandates ■ Cybersecurity: Multiple Perspectives on a Critical Current Issue■ Ethics – Defense and SEC Perspectives

CLE CREDITS: Submitted for 9 General CLE Credits, including 2 Ethics Credits

Co-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association

UNMATCHED NETWORKING

OPPORTUNITIES!Hear from local,statewide, and

national practiceleaders!

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobarcle.org

The 48th Annual Rocky Mountain Securities Conference provides a line-up of presenters who are wellknown throughout the securities profession and whose observations have earned the respect andattention of the investment community.

The Rocky Mountain Region’s PREMIER securities conference presented by many of thecountry’s most knowledgeable securities practitioners!

7:00 am Registration

7:50 am Welcoming RemarksJulie K. Lutz, Program Chair, Regional Director, SEC Denver Gary Abrams, Executive Director, Colorado CLE

8:00 - 8:30 am KEYNOTE ADDRESS Hon. Kara M. Stein, SEC Commissioner

8:30 - 9:15 am Enforcement Update: Priorities, Legal Issues and Recent Significant CasesStephanie Avakian, Deputy Director, Division of Enforcement, SECJoseph K. Brenner, Chief Counsel, Division of Enforcement, SEC Moderator: Jay A. Scoggins, Assistant Regional Director, Division of Enforcement, SEC Denver

9:20 - 10:05 am Defense PerspectiveDaniel F. Shea, Of Counsel, Hogan Lovells LLP, and former Regional Director, SEC DenverMerri Jo Gillette, Partner, Morgan Lewis and Bockius LLP, and former Regional Director, SEC ChicagoDavid Woodcock, Partner, Jones Day, and former Regional Director, SEC Fort WorthModerator: Marc Fagel, Partner, Gibson, Dunn & Crutcher LLP, and former Regional Director, SEC San Francisco

10:05 - 10:15 am Networking Break

10:15 - 11:00 am Corporation Finance: Analysis of Recent Rulemakings, Policies and IssuesKeith Higgins, Director, Division of Corporation Finance, SEC Richard N. Baer, Senior Vice President and General Counsel, Liberty Interactive CorporationModerator: S. Lee Terry, Partner, Davis, Graham & Stubbs LLP

11:05 - 11:35 am Flash Course - Municipal Securities: Current Regulatory and Enforcement InitiativesLeeAnn Gaunt, Chief, Municipal Securities and Public Pensions Unit, Division of Enforcement, SECDenise Saxon, Assistant Regional Director, Office of Compliance Inspections and Examinations, SEC Denver

11:40 am - 12:25 pm General Counsel Roundtable and Corporate Governance UpdateDaniel L. Jablonsky, Senior Vice President and General Counsel, DigitalGlobe, Inc.Margaret McLean, Senior Vice President and General Counsel, Teletech Holdings Inc.Moderator: John V. McDermott, Shareholder, Brownstein Hyatt Farber Schreck

48TH ANNUAL

Rocky Mountain Securities ConferenceCo-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association

LIVE PROGRAM & LIVE WEBCAST: FRIDAY, MAY 6, 2016At the Denver Marriott City Center 1701 California Street, Denver, CO

You would have to travel to Washington DC or New York payingthousands of dollars to find a conference that offers as much asthis for a fraction of the cost. Reserve your place and be part ofthis very special event right here in Denver!

IF YOU WANT TO GET THE FACTS FROM THEEXPERTS, DON’T MISS THIS CONFERENCE!

Register today – seating is limited!

CLE CREDITS: Submitted for 9 General CLE Credits, Including 2 Ethics Credits

PROGRAM AGENDA

PROGRAM AGENDA continued

12:25 - 1:40 pm Luncheon and Speaker: Ethics in the Securities Industry - A ConversationHon. Daniel M. Gallagher, President, Patomak Global Partners, Washington DC, and former Commissioner, SECModerator: George Curtis, Gibson Dunn & Crutcher, former Regional Director, SEC Denver, and former Deputy Director, Division of Enforcement, SEC

1:45 - 2:30 pm Regulated Entities: Developments and Hot Topics Marc Wyatt, Director, Office of Compliance Inspections and Examinations, SEC David Bergers, General Counsel, LPL Financial Holdings Inc., Managing Director, Legal and Government Relations, LPL Financial, and former Regional Director, SEC BostonSteven W. Stone, Partner, Morgan Lewis and Bockius LLP Moderator: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver

2:35 - 3:05 pm Flash Course - Update on Dodd Frank Mandates Reid A. Godbolt, President, Jones & Keller, PCProfessor Jay Brown, Professor of Law, University of Denver Sturm College of Law

3:05 - 3:20 pm Networking Break

3:20 - 4:25 pm Cybersecurity: Multiple Perspectives on a Critical Current IssueDavid Kelley, Surveillance Director, FINRA Joseph Sansone, Co-Chief, Market Abuse Unit, Division of Enforcement, SECKevin Witt, Senior Vice President, Technology, National Financial Partners, AustinModerator: David Glockner, Regional Director, SEC Chicago, and member, SEC Cybersecurity Committee

4:30 - 5:20 pm Ethics - Defense and SEC Perspectives Matt Kirsch, Criminal Division Chief, U.S. Attorney's Office, District of ColoradoAndrew Shoemaker, Partner, Shoemaker Ghiselli + Schwartz, LLCPatricia Weiss, Professional Responsibility Counsel, Office of the General Counsel, SECModerator: Gregory A. Kasper, Supervisory Trial Counsel, SEC Denver

5:20 pm Adjourn

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19TH STDENVER MARRIOTT CITY CENTER HOTEL1701 California Street, Denver, CO

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HOTEL LOCATION INFORMATION:The Conference is being held at the

Denver Marriott City Center1701 California Street, Denver, CO 80202

1 ETHICS CREDIT

1 ETHICS CREDIT

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobarcle.org

PLANNING COMMITTEE:Julie K. LutzProgram ChairRegional DirectorSecurities and Exchange CommissionDenver, CO

George Curtis*Gibson Dunn & CrutcherFormer Regional DirectorSecurities and ExchangeCommissionFormer Deputy DirectorDivision of EnforcementSecurities and Exchange CommissionDenver, CO

Robert DavenportOf CounselJones & Keller, PCFormer Regional DirectorSecurities and Exchange CommissionDenver, CO

Donald HoerlConsultant and Former Regional DirectorSecurities and Exchange CommissionDenver, CO

Thomas J. KrysaAssociate Regional DirectorDivision of EnforcementSecurities and Exchange CommissionDenver, CO

Thomas M. Piccone*Associate Regional DirectorOffice of Compliance Inspectionsand ExaminationsSecurities and Exchange CommissionDenver, CO

Daniel F. Shea*Of CounselHogan Lovells LLPFormer Regional DirectorSecurities and Exchange CommissionDenver, CO

*Also Faculty

COMMISSIONER:Hon. Kara M. SteinSecurities and Exchange CommissionWashington, DC

FACULTY:Stephanie AvakianDeputy DirectorDivision of EnforcementSecurities and Exchange CommissionWashington, DC

Richard N. BaerSenior Vice President and General CounselLiberty Interactive CorporationEnglewood, CO

David BergersGeneral CounselLPL Financial Holdings Inc. Managing DirectorLegal and Government RelationsLPL FinancialFormer Regional Director Securities and Exchange CommissionBoston, MA

Joseph K. BrennerChief CounselDivision of EnforcementSecurities and Exchange CommissionWashington, DC

Professor Jay BrownProfessor of LawUniversity of Denver Sturm College of LawDenver, CO

Marc FagelPartner, Gibson, Dunn & Crutcher LLPFormer Regional DirectorSecurities and Exchange CommissionSan Francisco, CA

Hon. Daniel M. GallagherPresidentPatomak Global PartnersFormer CommissionerSecurities and Exchange CommissionWashington DC

LeeAnn GauntChiefMunicipal Securities and Public Pensions UnitDivision of EnforcementSecurities and Exchange CommissionBoston, MA

Merri Jo GillettePartner, Morgan Lewis and Bockius LLPFormer Regional DirectorSecurities and Exchange CommissionChicago, IL

David GlocknerRegional DirectorSecurities and Exchange CommissionChicago, ILMember, SEC CybersecurityCommittee

Reid A. GodboltPresident Jones & Keller, PCDenver, CO

Keith HigginsDirectorDivision of Corporation FinanceSecurities and Exchange CommissionWashington, DC

Daniel L. JablonskySenior Vice President and General CounselDigitalGlobe, Inc.Longmont, CO

Gregory A. KasperSupervisory Trial CounselSecurities and Exchange CommissionDenver, CO

David KelleySurveillance DirectorFINRAKansas City, MO

Matt KirschCriminal Division ChiefU.S. Attorney's OfficeDistrict of Colorado

John V. McDermottShareholderBrownstein Hyatt FarberSchreckDenver, CO

Margaret McLeanSenior Vice President and General CounselTeletech Holdings, Inc.Englewood, CO

Joseph SansoneCo-Chief, Market Abuse UnitDivision of EnforcementSecurities and Exchange CommissionNew York, NY

Denise SaxonAssistant Regional DirectorOffice of Compliance Inspectionsand ExaminationsSecurities and Exchange CommissionDenver, CO

Jay A. ScogginsAssistant Regional Director Divisionof EnforcementSecurities and Exchange CommissionDenver, CO

Andrew ShoemakerPartner, Shoemaker Ghiselli + Schwartz, LLCBoulder, CO

Steven W. StonePartner, Morgan Lewis and Bockius LLPWashington, DC

S. Lee TerryPartner, Davis, Graham & Stubbs LLPDenver, CO

Patricia WeissProfessional Responsibility CounselOffice of the General CounselSecurities and Exchange CommissionWashington, DC

Kevin WittSenior Vice PresidentTechnologyNational Financial PartnersAustin, TX

David WoodcockPartner, Jones DayFormer Regional DirectorSecurities and Exchange CommissionFort Worth, TX

Marc WyattDirectorOffice of Compliance Inspectionsand ExaminationsSecurities and Exchange CommissionWashington, DC

48TH Annual Rocky Mountain Securities ConferenceCo-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association

Price

Shipping & Handling

Subtotal

Applicable Sales Tax (7.62% Denver, 4% RTD and 2.9% rest of Colo.)

HOMESTUDY TOTAL

$

$

$

$

$

10.95

NOTE: Shipping & handling only applies to ordersyou receive via mail. Materials will be mailed to you approximately 2 weeks after live program.

HOMESTUDY FORMAT & CREDITS: Homestudy is available in 3 formats: MP3 Audio Download, Video on Demand video download, or CD-Rom. When ordering,

please indicate which format you wish to receive. Submitted for 9 General CLE Credits, including 2.6 Ethics Credits.

STEP 1 - SELECT DESIRED PRODUCT FORMAT:

❏ MP3 Audio Download ( BL050616J) ❏ Video-On-Demand ( BL050616J)

❏ Paper course materials and recorded homestudy on CD-Rom ( BL050616D)

STEP 2 - SELECT PAYMENT CATEGORY:

❏ Non-member: ............................................................................................................$409

❏ CBA Member: ............................................................................................................$369

❏ Elite CLE Pass Holder: (MP3 ONLY) ....................................................................FREE

❏ Basic CLE Pass Holder: (MP3 ONLY) ..................................................................FREE

NOTE: Step 3 is for course materials only purchases. Skip this step if you purchased the HOMESTUDY.

STEP 3 - COURSE MATERIALS ONLY: (Paper Only - BL050616C):

❏ Non-member: $159 ❏ CBA Member: $129

LIVE PROGRAM ORDER FORM HOMESTUDY ORDER FORM

Your course tuition includes: Course materials (please select paper ordigital), and admission to the entire Conference, including lunch. You MUST indicate if you plan to attend the luncheon or one

will not be ordered for you.

STEP 1 - REGISTRATION TYPE: (Select live program or live webcast)

❏ LIVE PROGRAM: MAY 6, 2016 - At the Denver Marriott City Center (BL050616L)

❏ LIVE WEBCAST: MAY 6, 2016 - Must have access to high-speed internet (BL050616W)

STEP 2 - REGISTRATION TUITION:

❏ Non-Member: ........................................................................................................$409

❏ CBA Member: ........................................................................................................$369

❏ Colorado CPA Society Member: ............................................................................$369

❏ CBA Business Law Section Member: ....................................................................$329

❏ Government Employee:..........................................................................................$329

❏ New Lawyer – CBA Business Law Section Member:............................................$249

❏ Securities & Exchange Commission Employee/ Regulators: ................................$125

❏ CLE Elite Pass Holder: ..................................................................................$189

STEP 3 - LUNCHEON:

❏ YES - I will attend the luncheon ❏ I require a vegetarian selection

❏ NO - I will not attend the luncheon

STEP 4 - SELECT MATERIALS FORMAT (Please Select One):

❏ Digital Download (PDF via EMAIL sent approx. 24-48 hrs. prior to the seminar)

❏ Printed Book (pick up at seminar)

LIVE PROGRAMTOTAL $

Register by PHONEwhen using VISA, MC or AmEx

In Denver: (303) 860-0608Toll-Free: (888) 860-2531

Or FAX form towhen using VISA, MC or AmEx

FAX to: (303) 860-0624

Or MAIL form toCLE in Colorado1900 Grant St, Suite 300Denver, CO 80203-4303

Or Register ONLINEwhen using VISA, MC or AmEx

Go to www.cobarcle.org

CANCELLATION POLICY: If you are unable to attend, please notify Colorado CLE by May 2, 2016 and we will gladly refund your tuition in full, transfer your tuition to the homestudy, or you may send someone in your place. Cancellations after May 2 will be refunded less a $100 cancellation fee.

Name ____________________________________________________________ Atty. Reg. # __________________________________________________________________________________________________________________

Firm/Organization ______________________________________________________________________________________________________________________________________

E-Mail Address ____________________________________________________________________________________________________________________________________________________________________________________

Street Address ____________________________________________________________________________________________________________________________________________________________

City ________________________________________________________________________________________ State ________________________ Zip ____________________________________

Telephone ( ) ______________________________________________________ Fax ( )______________________________________________________________

PAYMENT METHOD:

❏ Enclosed is my check made payable to CLE ❏ VISA ❏ MasterCard ❏ AmEx

Credit Card #____________________________________________________________________________________________ Exp. Date __________________________________________

Signature ____________________________________________________________________________________________________________________________________________________________________________________________________________________________Required for credit card orders

CLE Use Only: Check #:______________________________________________________________________________________ Approval #: ______________________________________________________________________________

1900 Grant Street, Suite 300, Denver, Colorado 80203-4303

Nonprofit Org.U.S. Postage PaidPermit No. 1638

Denver, CO

REGISTER ONLINE! Go to www.cobarcle.org

48TH ANNUAL

Rocky Mountain Securities ConferenceLIVE PROGRAM & LIVE WEBCAST: FRIDAY, MAY 6, 2016Live Program at the Denver Marriott City Center • 1701 California Street, Denver, CO

Co-sponsored by the U.S. Securities and Exchange Commission and theBusiness Law Section of the Colorado Bar Association

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobarcle.org

The Rocky Mountain Region’s PREMIER securities conferencepresented by many of the country’s most knowledgeable securities practitioners!

UNMATCHED NETWORKING

OPPORTUNITIES!Hear from local,statewide, and

national practiceleaders!

48TH ANNUAL

Rocky Mountain Securities ConferenceCo-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association

LIVE PROGRAM & LIVE WEBCAST: FRIDAY, MAY 6, 2016Denver Marriott City Center 1701 California Street, Denver, CO

Submitted for 9 General CLE Credits, including 2.6 Ethics Credits

The Rocky Mountain Region’s PREMIER securities conference!