Center on Corporate Governance PRESENTS

This conference has been made possible thanks to the generous support of The Stephen Friedman Fund in Business Law and the Securities Law Section of the Federal Bar Association

CONFERENCE

Current Issues in Securities Regulation:The Hot Topics

Friday, November 21, 2014

Current Issues in Securities Regulation: The Hot Topics

conference co-chairmen

John C. Coffee Jr. Adolf A. Berle Professor of Law; Director, Center on Corporate Governance, Columbia Law School

Meyer Eisenberg ’58 Adjunct Senior Research Scholar and Lecturer-in-Law, Columbia Law School

CLE Credit is available to New York State attorneys.*

Schedule of Events

9:30 a.m. Registration and Breakfast

10:30 a.m.–12 p.m. Securities Litigation and Enforcement pa n e l i s t s Antonia M. Apps, Partner, Milbank, Tweed, Hadley & McCloy;

former Assistant United States Attorney, Southern District of New YorkMax W. Berger ’71, Senior Founding Partner, Bernstein, Litowitz,

Berger and GrossmanStephen J. Crimmins ’73, Partner, K&L GatesBrad S. Karp, Chair, Paul, Weiss, Rifkind, Wharton & GarrisonHon. Jed S. Rakoff, Judge, U.S. District Court for the Southern District of

New York; Lecturer-in-Law, Columbia Law SchoolMatthew C. Solomon, Chief Litigation Counsel, Securities and

Exchange CommissionRichard B. Zabel, Deputy U.S. Attorney for the Southern District of New York;

Lecturer-in-Law, Columbia Law School

m o d e r ato r John C. Coffee Jr., Adolf A. Berle Professor of Law, Columbia Law School

12:15–1:30 p.m. Luncheon and Keynote Drapkin Lounge

k e y n ot e s p e a k e r Kara M. Stein, Commissioner, Securities and Exchange Commission

1:45–2:30 p.m. An Interview with James R. Doty, Chairman of the Public Company Accounting Oversight Board

i n t e rv i e w e r s John C. Coffee Jr., Adolf A. Berle Professor of Law, Columbia Law SchoolHarvey J. Goldschmid ’65, Dwight Professor of Law, Columbia Law School

2:30–4 p.m. Dark Pools and High Frequency Trading

pa n e l i s t s Douglas Cifu ’90, Chief Executive Officer, Virtu Financial Inc.Robert W. Cook, Partner, Cleary, Gottlieb Steen & Hamilton, Washington, D.C.;

former Director of the Division of Trading and Markets, Securities and Exchange Commission

Merritt B. Fox, Michael E. Patterson Professor of Law and NASDAQ Professor for Law and Economics of Capital Markets, Columbia Law School

Kevin S. Haeberle ’05, Assistant Professor of Law, University of South Carolina School of Law

Daniel Hawke, Chief, Market Abuse Unit, Securities and Exchange CommissionChad Johnson, Chief, New York Attorney General’s Investor Protection BureauJohn Ramsay, Chief Market and Regulatory Officer, IEX; former Director, Division

of Trading and Markets, Securities and Exchange Commission

m o d e r ato r Lawrence R. Glosten, S. Sloan Colt Professor of Banking and International Finance, Columbia Business School

4–5 p.m. Money Market Funds, the Securities and Exchange Commission, and the Financial Stability Oversight Council

pa n e l i s t s Martha L. Cochran, Partner, Arnold & Porter, Washington D.C.Jeffrey N. Gordon, Richard Paul Richman Professor of Law, Columbia Law SchoolChristopher J. Meade, General Counsel, U.S. Department of the TreasuryBrian Reid, Chief Economist, Investment Company Institute

m o d e r ato r Meyer Eisenberg ’58, Adjunct Senior Research Scholar and Lecturer-in-Law, Columbia Law School

5 p.m. Cocktail Reception Drapkin Lounge

* Up to 4 credit hours of New York State Continuing Legal Education is available to attendees. Columbia Law School has been certified by the New York State Continuing Legal Education (CLE) board as an Accredited

Provider of CLE programs. Under New York State CLE regulations, each live non-transitional CLE panel will provide one (1.0) credit hour that can be applied toward the Areas of Professional Practice requirement. CLE credit is awarded only for full attendance of a panel in its entirety. Attorneys attending only part of a Program are not eligible for partial credit for it, although they are most welcome to attend it. Attendance is determined by an attorney’s sign-in and sign-out, as shown in the Conference registers. On sign-out, attorneys should also submit their completed Evaluation Form, provided at the Conference. Please note that NYS Certificates of Attendance will be sent out to the email address as it appears in the register unless otherwise noted there.

CENTER ON CORPORATE GOVERNANCE

Join the conversation at: clsbluesky.law.columbia.edu