- October 13, 2022
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The SEC Chicago Regional Office – A Distinctive History
Moderator: Lori A. Richards, Director, SEC Office of Compliance Inspections and Examinations (1995 – 2009); SEC Office of the Chairman (1994 – 1995); SEC Los Angeles Regional Office, Enforcement (1985 -1994)
Presenter(s): Randall J. Fons Regional Director, Central Regional Office (2000-2006); Regional Director, Southeast Regional Office (1997-2000); Multiple positions, including Associate Regional Director, Chicago Regional Office (1988-1997); Merri Jo Gillette Regional Director, Chicago Regional Office (2004-2013); Associate Director of Enforcement, Philadelphia Regional Office (1986-2004); David Glockner Regional Director, Chicago Regional Office (2013-2017); Daniel R. Gregus Regional Director, Chicago Regional Office (2021-Current); Acting Regional Co-Director (June 2021 - November 2021); Associate Regional Director (BDX Exams) (June 2015 – November 2021); Assistant Regional Director (BD Exams) (February 2007 – May 2015); Assistant Regional Director (ENF) (August 1998 – February 2007) Branch Chief (ENF) (March 1993 – August 1998); Mary E. Keefe Regional Director, Midwest Regional Office (1994-2003); Joel R. Levin Regional Director, Chicago Regional Office (2018-2021); Anita M. Nagler Multiple positions, Chicago Regional Office (1980-1982) and (1984-1993), including Associate Regional Administrator for enforcement (1988-1993). Los Angeles Regional Office (1982-1984)
This program is made possible through the generous support of Peter K.M. Chan, Charles River Associates, Northwestern University Pritzker School of Law and Lori A. Richards.
- October 11, 2022
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From OCIE to the Division of Examinations: A Leadership Perspective on the Past and Future of the SEC Examinations Program
Moderator: G. Jeffrey Boujoukos, Partner, Morgan Lewis; Former Director, SEC Philadelphia Regional Office
Presenter(s): Richard R. Best, Director, SEC Division of Examinations; Daniel S. Kahl, Partner, Kirkland & Ellis; Former Acting Director, Division of Examinations; Joy G. Thompson, Associate Regional Director, Division of Examinations, SEC Philadelphia Regional Office
This program is made possible with a grant from Morgan, Lewis, and Bockius, LLP.
- September 14, 2022
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Securities Arbitration Clinics: Commemorating 25 Years of Law Students Aiding Investors
Moderator: Jill Gross, Senior Associate Dean for Academic Affairs and Law Operations, Professor of Law, Elisabeth Haub School of Law, Pace University and Former Director, Pace Investor Rights Clinic; Ronald C. Long, Head, Aging Client Services, Wells Fargo
Presenter(s): The Honorable Arthur Levitt (opening remarks). Barbara Black, Professor (retired) and Founder, Pace Securities Arbitration Clinic; Christine Lazaro, Professor of Clinical Legal Education, Director, Securities Arbitration Clinic, St. John's University School of Law; Paul Radvany, Clinical Professor of Law, and Director, Securities Arbitration Clinic, Fordham Law School; Bruce Sanders, Supervising Attorney & Adjunct Professor of Law, Investor Justice & Education Clinic, Howard University School of Law; Qudsia Shafiq, Associate General Counsel, Edward Jones; former student and participant of the Georgia State Law Investor Advocacy Clinic; Onaivo "Toyin" Momoh Toyin, Senior Counsel, US Securities and Exchange Commission; former student and participant of the Howard University School of Law Investor Justice & Education Clinic
This program and related exhibit are made possible through the generous support of Ronald C. Long.
- July 21, 2022
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The Sarbanes-Oxley Act at 20: A Corporate Governance Legacy
Moderator: Jim Barratt, Director AlixPartners; former SEC Enforcement Accountant
Presenter(s): Alan L. Beller, former Director, SEC Division of Corporation Finance (2002 – 2006); David M. Lynn, former Chief Counsel, SEC Division of Corporation Finance (2003 – 2007); Shelley E. Parratt, former Deputy Director, SEC Division of Corporation Finance (2003 – 2021); Harvey L. Pitt, former Chairman, U.S. Securities & Exchange Commission (2001 – 2003); Annemarie Tierney, former Assistant General Counsel, NYSE Euronext (2002 – 2008).
