Upper Midwest Securities Litigation and Enforcement Forum

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May 29, 2014

Graves 601 Hotel
601 1st Avenue North
Minneapolis, MN 55403

Register today for the fifth annual Upper Midwest Securities Litigation and Enforcement Forum. Join FINRA’s R. Scott DeArmey, District Director of FINRA’s Kansas City District Office; 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, securities and insurance regulation and enforcement, an update in securities litigation, and current issues for regulators.

Registration and Continental Breakfast 8:30 a.m. - 9:00 a.m.
Forum 9:00 a.m. - 11:45 a.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:

  • From the Regulators – Current Perspectives
  • Unrest in the Municipal Finance World
  • Strategies for Managing Parallel Regulatory Proceedings
  • Securities Litigation and Arbitration Claims: What the Insurers See
  • Developments in Securities Law and Implementation of the JOBS Act
  • SEC Initiatives and Current Issues
  • Hedge Funds and Private Equity
  • The New Great Train Robbery: Cyber Security and Protecting Customer Data

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

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