Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Sunday, March 17, 2013

UCincinnati Symposium on Enforcement Practices in the Post-Financial Crisis Era

On March 15 the Corporate Law Center at the University of Cincinnati College of Law presented the 26th Annual Corporate Law Symposium, which focused on Addressing the Challenges of Protecting the Public: Enforcement Practices and Policies in the Post-Financial Crisis Era.  The webcast with be posted on the CLC website in a few days; meanwhile, here's the list of the speakers and the titles of the papers they presented.  The papers will be published in a forthcoming issue of the University of Cincinnati Law Review.

Panel I: Securities Enforcement: the SEC and FINRA
Moderator:  Verity Winship
 ■Douglas Branson, SEC Enforcement: A New Era for Broker-Dealer Regulation
 ■Jennifer Johnson, Sinking in the Sea Change?  FINRA and the Regulation of Non-Public Offerings
 ■Renee Jones, Utilizing the Director Bar to Enforce Corporate Accountability
 ■Geoffrey Rapp, An Analysis of the SEC’s New Office of Market Intelligence

Distinguished Guest Speaker: David M. Becker; Cleary, Gottlieb

Mr. Becker discussed the challenges facing the SEC from the vantage point of his many years of experience both in private practice and in senior policy positions at the SEC.
Panel II: Policy Implications in Public Enforcement
Moderator:  Amanda M. Rose
 ■Samuel Buell,  Liability and Admissions of Wrongdoing in Public Enforcement of Law (posted on SSRN)
 ■J.W. Verret, Overcriminalization and its Consequences
 ■Adam Zimmerman, Executive Branch Compensation Settlements      

State Securities Regulation Roundtable
A panel discusses cutting-edge issues that especially concern state securities regulators.    

 Moderator: Jennifer Johnson  
 ■Joseph Brady, General Counsel, North American Securities Administrators Association
 ■Chris Naylor, Indiana Securities Commissioner
 ■Andrea L. Seidt, Commissioner, Ohio Dept. of Commerce, Division of Securities

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