Upper Midwest Securities Litigation and Enforcement Forum

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June 14, 2013
Graves 601 Hotel 601 1st Avenue North Minneapolis, MN 55403

Co-sponsored by the ABA Section of Litigation

Register today for the annual Upper Midwest Securities Litigation and Enforcement Forum. Join FINRA’s R. Scott DeArmey, District Director of FINRA’s Kansas City District Office; Minnesota Commissioner of Commerce Michael Rothman; Director of Securities for Minnesota Department of Commerce Robert Moilanen; University of Minnesota law professor and former White House Chief Ethics Officer Richard Painter, and other leaders for a discussion of securities litigation and industry regulation. Speakers will address future challenges and strategies in the financial industry, civil and criminal securities enforcement, an update in securities litigation, broker-dealer supervision, and current issues for regulators.

Registration and Continental Breakfast 8:30 a.m. - 9:00 a.m.

Forum 9:00 a.m. – 12:00 p.m.

Lunch (provided) 12:00 p.m.- 12:45 p.m.

Forum 12:45 p.m. – 4:00 p.m.

Topics to include the following:

  • The Next Disaster: Interest Rates and an Aging Population
  • The Next Disaster, Part II: Will Insurance Products Save the Day?
  • Regulators’ Focus
  • Trends in Civil and Criminal Securities Enforcement
  • Selling Away: Supervision and Challenges
  • Recent Securities Case Law and Regulation: How Should You Update Your Compliance Program? 

Additional details are available here.

To register, or for more information, please contact Dena Edmiston, Briggs and Morgan, P.A. at 612.977.8581 or e-mail.