Friday, October 21, 2016 8:00 a.m. – 5:00 p.m.Millennium Biltmore Hotel 506 South Grand Avenue, Los Angeles

SECURITIESREGULATIONSEMINAR

SPONSORED BY:nLos Angeles County Bar Association

Business & Corporations Law SectionnU.S. Securities and Exchange Commission

CO-SPONSORED BY:nCalifornia Department of Business OversightnFINRA

49TH ANNUAL

Keynote Speaker

LESLIE R. CALDWELLAssistant Attorney General for the Criminal Division U.S. Department of Justice

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Program Steering Committee

John F. Hartigan, Program Chair Morgan, Lewis & Bockius LLP

Michele Wein Layne, Regional Director Securities and Exchange Commission

Ingrid A. Myers Morgan, Lewis & Bockius LLP

Theresa Leets California Department of Business Oversight

David A. Greene FINRA

Business & Corporations Law Section Executive Committee Officers

Barry L. Burten, Chair Jeffer Mangels Butler & Mitchell LLP

Katherine Blair, Secretary Manatt, Phelps & Phillips, LLP

Candice Choh, Marketing and New Members Committee Chair, Gibson Dunn & Crutcher LLP

James W. Coupe, Vice Chair/Treasurer Attorney at Law

Theresa Leets, Programming Committee Co-Chair Department of Business Oversight

Peter Menard, Programming Committee Co-Chair Sheppard, Mullin, Richter & Hampton LLP

John F. Hartigan, Immediate Past Chair Morgan, Lewis & Bockius LLP

PROGRAM OVERVIEWTop Washington and regional Securities and Exchange Commission officials, together with representatives of other regulatory agencies and leading private practitioners, will present a comprehensive review of current events and developments in the securities field.

This seminar will include an overview of judicial, regulatory, and enforcement developments, as well as recent trends in the public and private offerings of securities and other matters of interest to the securities bar. Program RegistrationFor phone registration with Visa, MasterCard or American Express: Call 213.896.6560, M-F 9 am-4 pm. Advance registration closes at noon on October 19, 2016. While advance registration (both online and via phone) closes for most programs approximately 12-24 hours before event time (in order to allow for operational considerations), we would still like to have you join us, and you are more than welcome to register on-site and attend, unless the program is specifically noted as SOLD OUT.

You may also register online at www.lacba.org/businessandcorps

Early Bird registration ends at 4 pm on October 3, 2016. No refunds after October 19, 2016. HOTEL INFORMATIONA room block has been arranged at the Millennium Biltmore Hotel. The hotel is conveniently located within walking distance to shopping centers and the Los Angeles fashion district, restaurants, Staples Center, cultural, and tourist attractions.

Millennium Biltmore Hotel, (213) 612-1575 $175 for a single/double

Please call the hotel directly to make your reservations and mention the “Los Angeles County Bar Association” to receive the special rate. Reservations must be made early. A credit card is required to guarantee the reservation. The hotel will honor the rate as long as rooms are available.

You can also book your room online at www.thebiltmore.com, and enter promo code: LACBA to obtain the special rate.

CLE Information: The Los Angeles County Bar Association is a State Bar of California approved MCLE provider and certifies that this activity has been approved for MCLE credit by the State Bar of California.

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8:00 – 8:30 a.m.

Registration

8:25 a.m.

WelcomeJohn F. Hartigan Program Chair Morgan, Lewis & Bockius LLP

8:30 – 9:45 a.m.

Enforcement DevelopmentsA discussion of SEC and DOJ enforcement trends and priorities.

John F. Hartigan (Moderator) Morgan, Lewis & Bockius LLP

George S. Cardona Chief, Major Fraud Unit U.S. Attorney’s Office, Central District of California

Andrew J. Ceresney Director SEC Division of Enforcement

Michele Wein Layne Regional Director SEC Los Angeles Regional Office

9:45 – 10:00 a.m.

Coffee Break

10:00 – 11:15 a.m.

SEC Update – General Counsel’s OfficeA review of recent litigation, appellate and regulatory developments and priorities at the SEC from the perspective of the SEC General Counsel’s office.

Simon Lorne (Moderator) Millennium Management LLC

John W. Avery Deputy Solicitor Securities & Exchange Commission

Joseph McLaughlin Sidley Austin LLP

11:15 a.m. – 12:15 p.m.

SEC Update – Division of Corporation FinanceA discussion of recent developments, interpretive guidance, rulemaking and other initiatives of the Division of Corporation Finance.

Jonathan K. Layne (Moderator) Gibson, Dunn & Crutcher LLP

Brian V. Breheny Skadden, Arps, Slate, Meagher & Flom LLP

Michele Anderson Associate Director (Legal) SEC Division of Corporation Finance

12:15 – 1:45 p.m.

Lunch

1:00 – 1:45 p.m.

KEYNOTE SpeakerLESLIE R. CALDWELLAssistant Attorney General for the Criminal Division U.S. Department of Justice

1:45 - 2:45 p.m.

BREAKOUT SESSION ONE

CorporatION finance workshopA round table discussion of recent Corporation Finance initiatives and rulemaking, including rules and disclosure simplification, non GAAP financial measures (Reg G) and other hot topics

James J. Moloney (Moderator) Gibson, Dunn & Crutcher LLP

David C. Lee K&L Gates LLP

Steven B. Stokdyk Latham & Watkins LLP

Enforcement WorkshopAn in-depth discussion of recent enforcement trends and topics.Douglas Fuchs (Moderator) Gibson, Dunn & Crutcher LLP

George S. Cardona Chief, Major Fraud Unit U.S. Attorney’s Office, Central District of California

Alka Patel Associate Regional Director SEC Los Angeles Regional Office

WhistleblowersWhat every lawyer needs to know about the regulatory, enforcement and practical implications of whistleblower situations.Ronald E. Wood (Moderator) Brown, White & Osborn LLP

Michael C. Kelley Sidley Austin LLP

Jane A. Norberg Acting Chief, SEC Office of the Whistleblower

2:45 – 3:00 p.m.

Coffee Break

3:00 – 4:00 p.m.

BREAKOUT SESSION TWO

Representing and Financing Start-Ups and Emerging BusinessesA discussion of the current debt and equity markets and creative alternatives for start-ups and emerging businesses.

Stacey Olliff (Moderator) Prodege, LLC

David M. Hernand Paul Hastings LLP

Dylan Pearce Greycroft Partners

Hamet Watt Upfront Ventures

The “Owners” Come Calling: Dealing with Shareholders in an Age of ActivismA discussion of current trends in shareholder activism, special issues when activists gain board representation and the impact of proxy access in 2016 and beyond.

Brian J. McCarthy (Moderator) Skadden, Arps, Slate, Meagher & Flom LLP

Amy Bilbija Evercore Partners

Rick C. Madden Kirkland & Ellis LLP

LITIGATION ENFORCEMENT ACTIONSA roundtable discussion of best practices in litigating enforcement actions.

Thomas A. Zaccaro (Moderator) Paul Hastings LLP

John W. Berry Regional Trial Counsel SEC Los Angeles Regional Office

Gregory J. Weingart Munger, Tolles & Olson LLP

4:00 – 5:00 p.m.

Ethical Considerations for the Securities Lawyer A roundtable discussion of ethical challenges encountered by in-house and outside counsel, including the disciplining of attorneys practicing before the SEC.

Seth Aronson (Moderator) O’Melveny & Myers LLP

George S. Cardona Chief, Major Fraud Unit U.S. Attorney’s Office, Central District of California

Michele Wein Layne Regional Director SEC Los Angeles Regional Office

Simon Lorne Millennium Management LLC

Thomas A. Zaccaro Paul Hastings LLP

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Date: Friday, October 21, 2016

Location: Millennium Biltmore Hotel 506 South Grand Avenue, Los Angeles

Time: 8:00 a.m. – 5:00 p.m. Continental breakfast will be served Luncheon program included

CLE CREDIT: 7.25 hrs CLE credit Including 1.0 hr ethics credit

Prices:*$370 Early Bird Registration for all categories

by October 3, 2016

$1,850 Early Bird Registration for groups of six by October 3, 2016 – Buy six tickets at a reduced rate

Prices below effective after October 3, 2016:

$415 Business and Corporations Law Section members

$435 LACBA members

$480 All others

$1,950 Group registration for groups of six – Buy six tickets at a reduced rate

* Government employees and law students – call Member Services at 213-896-6560 or send email to msd@lacba.org for special rates.

Program Code: 102116BUS

49TH ANNUAL

SECURITIES REGULATION SEMINAR