Not a CBA Member? Join Now!
Find A Lawyer Directory
Legal Directory

May 8, 2007 -- SEC Chair Christopher Cox to give keynote address at local conference

CBA Header Image


May 8, 2007
For immediate release

For information, call George Curtis, program chair, (303) 844-1042 


Challenges in the Securities Marketplace
and their Impact on Investors

SEC Chair Christopher Cox to give keynote address at local conference

DENVER — SEC Chair Christopher Cox will open the Rocky Mountain Securities Conference on Friday, May 11, with a keynote address at 8:15 a.m. that will focus on the challenges and frontiers in securities regulation. This all-day conference at the Denver Marriott City Center Hotel, 1701 California St., in Denver will address many of the current issues that directly affect investors and the marketplace.

The three general sessions in the morning will consider ethical issues that confront securities professionals, developments and issues in corporate finance, and developments in SEC enforcement efforts.

The six afternoon breakout sessions are:

  • Issues Affecting Broker Dealers, Investment Advisers and Mutual Funds
  • Securities Fraud in the 21st Century: The Issues and Response
  • SEC and PCAOB Developments Affecting Audit Committees and Audit Firms
  • Corporate Governance: Compensation Issues, Audit Committees, and more
  • Representing Clients Before the SEC: Special Investigations, Waiver Issues, Trial and More
  • Raising Capital for Start-Ups: Mistakes to Avoid in Assisting the Client

The program features many top securities directors and practitioners, including George Curtis, SEC Regional Director; Fred Joseph, Colorado Securities Division Director; James Doty, former General Counsel of the SEC; and Walter Ricciardi, SEC Deputy Director, Division of Enforcement.

For full details, visit