Securities and Exchange Commission Historical Society

Programs

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October 13, 2022

The SEC Chicago Regional Office – A Distinctive History

Moderator: Lori A. Richards, Director, SEC Office of Compliance Inspections and Examinations (1995 – 2009); SEC Office of the Chairman (1994 – 1995); SEC Los Angeles Regional Office, Enforcement (1985 -1994)
Presenter(s): Randall J. Fons Regional Director, Central Regional Office (2000-2006); Regional Director, Southeast Regional Office (1997-2000); Multiple positions, including Associate Regional Director, Chicago Regional Office (1988-1997); Merri Jo Gillette Regional Director, Chicago Regional Office (2004-2013); Associate Director of Enforcement, Philadelphia Regional Office (1986-2004); David Glockner Regional Director, Chicago Regional Office (2013-2017); Daniel R. Gregus Regional Director, Chicago Regional Office (2021-Current); Acting Regional Co-Director (June 2021 - November 2021); Associate Regional Director (BDX Exams) (June 2015 – November 2021); Assistant Regional Director (BD Exams) (February 2007 – May 2015); Assistant Regional Director (ENF) (August 1998 – February 2007) Branch Chief (ENF) (March 1993 – August 1998); Mary E. Keefe Regional Director, Midwest Regional Office (1994-2003); Joel R. Levin Regional Director, Chicago Regional Office (2018-2021); Anita M. Nagler Multiple positions, Chicago Regional Office (1980-1982) and (1984-1993), including Associate Regional Administrator for enforcement (1988-1993). Los Angeles Regional Office (1982-1984)
This program is made possible through the generous support of Peter K.M. Chan, Charles River Associates, Northwestern University Pritzker School of Law and Lori A. Richards.
October 11, 2022

From OCIE to the Division of Examinations: A Leadership Perspective on the Past and Future of the SEC Examinations Program

Moderator: G. Jeffrey Boujoukos, Partner, Morgan Lewis; Former Director, SEC Philadelphia Regional Office
Presenter(s): Richard R. Best, Director, SEC Division of Examinations; Daniel S. Kahl, Partner, Kirkland & Ellis; Former Acting Director, Division of Examinations; Joy G. Thompson, Associate Regional Director, Division of Examinations, SEC Philadelphia Regional Office
This program is made possible with a grant from Morgan, Lewis, and Bockius, LLP.
September 14, 2022

Securities Arbitration Clinics: Commemorating 25 Years of Law Students Aiding Investors

Moderator: Jill Gross, Senior Associate Dean for Academic Affairs and Law Operations, Professor of Law, Elisabeth Haub School of Law, Pace University and Former Director, Pace Investor Rights Clinic; Ronald C. Long, Head, Aging Client Services, Wells Fargo
Presenter(s): The Honorable Arthur Levitt (opening remarks). Barbara Black, Professor (retired) and Founder, Pace Securities Arbitration Clinic; Christine Lazaro, Professor of Clinical Legal Education, Director, Securities Arbitration Clinic, St. John's University School of Law; Paul Radvany, Clinical Professor of Law, and Director, Securities Arbitration Clinic, Fordham Law School; Bruce Sanders, Supervising Attorney & Adjunct Professor of Law, Investor Justice & Education Clinic, Howard University School of Law; Qudsia Shafiq, Associate General Counsel, Edward Jones; former student and participant of the Georgia State Law Investor Advocacy Clinic; Onaivo "Toyin" Momoh Toyin, Senior Counsel, US Securities and Exchange Commission; former student and participant of the Howard University School of Law Investor Justice & Education Clinic
This program and related exhibit are made possible through the generous support of Ronald C. Long.
July 21, 2022

The Sarbanes-Oxley Act at 20: A Corporate Governance Legacy

Moderator: Jim Barratt, Director AlixPartners; former SEC Enforcement Accountant
Presenter(s): Alan L. Beller, former Director, SEC Division of Corporation Finance (2002 – 2006); David M. Lynn, former Chief Counsel, SEC Division of Corporation Finance (2003 – 2007); Shelley E. Parratt, former Deputy Director, SEC Division of Corporation Finance (2003 – 2021); Harvey L. Pitt, former Chairman, U.S. Securities & Exchange Commission (2001 – 2003); Annemarie Tierney, former Assistant General Counsel, NYSE Euronext (2002 – 2008).

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