Murtha Means More

WESFACCA's Day With The SEC - March 2

March 2, 2012


Edward B. Whittemore, a program co-chair, will be a discussion panelist during the afternoon event session.

Woodway Country Club
Darien, CT
Friday, March 2
Registration:  9:15 a.m.
Program:  10:00 a.m. - 3:30 p.m.

10:00 AM-12 Noon - Morning Panel: Current & Choice Enforcement Issues

  • Current enforcement trends and initiatives in the NY Office
  • Implementation of structural reforms
  • Impact of the Citigroup case/settlement on the Division's enforcement program
  • Whistleblower Office operations
  • FCPA compliance program

12:00 - Lunch -  Kathleen L. Casey, Former Commissioner (2006 - 2011), Securities & Exchange Commission

1:30-3:30 PM Afternoon Panel: Current & Choice Corporate Finance Issues

  • Implementation of Dodd Frank Rulemakings
  • Proxy access, Say-On-Pay and Rule 14a-8 in the 2012 proxy season
  • Proxy Plumbing; Iimprovements, Transparency & Efficiency
  • Staff Review of Beneficial Ownership Reporting Rules
  • Other Recent Division Rulemaking Initiatives
  • Accounting and Financial Reporting Issues
  • Facilitating Capital Formation Initiatives
  • Interaction of the Division with the RiskFin Division, the SEC's "think tank"

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