Securities Law Section Events


 

 

 

 

 

UPCOMING EVENTS


 

2019 Annual Securities Law Workshop

Date:     November 7th
Time:     8:30 – 4:15 PM
Place:    Little America Hotel, 500 Main St.

MATERIALS (PDF)

Erik Christiansen's Presentation

Tom Brady's Presentation 

Model Appointment Order 

Troubles with Ponzi Scheme Receivers 


 

2018 Annual Securities Law Section Meeting & CLE Event

Annual Securities Section Meeting & CLE Event
Westgate Resort & Spa
Park City, Utah 
Friday, September 14 - Saturday, September 15, 2018 
CLE Credits (pending) - 10 Hours (including 1 Ethics)

Cost:  Securities Law Section Members: $200;
All Other Attorneys, $250; Paralegals, $175; Students, $150
Credit:  9 Hrs. Regular, 1 Hr. Ethics

Click HERE to registerClick HERE to see the Agenda

 


 

2017 Annual Securities Law Workshop

Date:     August 4th
Time:     8:30 – 4:15 PM
Place:    Little America Hotel, 500 Main St.
Cost:      Securities Law Section Members: $160, All Others, $210
Credit:  6 Hrs. Regular, 1 Hr. Ethics
Click HERE to register

 

MATERIALS (PDF)

LITIGATION UPDATES PRESENTATION 2017

REPRESENTING A PUBLIC COMPANY: A CASE STUDY

HUNT-Slides- Attorney Liabitiy in private offerings

2017 Securities Section Presentation 8-4-17

Legal Social Mdia Top List of Recomendation for distribution

AGENDA

8:00 - 8:30 Check-in
8:30 - 9:15 SEC Updates -
Richard Best, Director Salt Lake Regional Office
9:15 - 10:15 Representing a Public Company - A Case Study in SEC and NASDAQ Compliance
Wayne D. Swan, Rachael Ortiz - attorneys at Durham Jones & Pinegar,
10:15 - 10:30 BREAK
10:30 - 11:30 Interagency Cooperation -
Melanie Vartabedian, Ballard Spahr, Amy Oliver, SEC Trial Attorney, Salt Lake Regional Office, Jacob Strain, U.S. Department of Justice and Michael Pickett, FBI.
11:30 - 12:15 Attorney Liability in Private Transactions
David S. Hunt, David Hunt PC
12:15 - 1:15 LUNCH - Election of Officers
Social Media for Lawyers (Ethics)
Dean Sapp, Brain Trace
1:15 - 2:15 DOL Fiduciary Panel
Daniel D. Hill, Snow Christensen & Martineau, Sharla Jessop, President of Smedley Financial Services, Inc, Ken Barton, Director of Compliance, Utah Division of Securities, Chris Colgan, Fidelity Investments, Director of Compliance.
2:15 - 3:00 Litigation Updates
Erik A. Christiansen, Parson Behle & Latimer
3:00 - 3:15 BREAK
3:15 - 4:15 Utah Updates
Utah Division of Securities
Keith M. Woodwell, Director, Chip Lyons, Analyst, Benjamin N. Johnson, Director of Registration and Licensing and Ken Barton, Director of Compliance.
We will be electing two new officers for the section during our lunch. Dan Hill will be serving as the Chair of the Section with Jacob Fonnesbeck as Vice-Chair. We will be electing a secretary and treasurer. It is a minimal time commitment and a great way to get involved in the section and with the Bar. Please consider nominating yourself or someone else to serve on the

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PAST EVENTS

2016 Crowdfunding Under the JOBS Act presented by:

The U.S. Securities & Exchange Commission
Salt Lake Regional Office
Utah Chapter of the Federal Bar Association
Securities Section of the Utah State Bar

October 26, 2016

MATERIALS (PDF)