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Corporate Governance

: The Race to the Bottom

Rocky Mountain Securities Conference: Overview

By J. Robert Brown

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Last Thursday and Friday were a couple of days in Denver that securities lawyers truly appreciate. On Thursday, May 8, the SEC Historical Society held a reception at the Denver Regional Office to celebrate the 75th Anniversary of the Securities and Exchange Commission. While the SEC was created in 1934, the celebration is a two year process that begins in the year of the first significant piece of legislation, the Securities Act of 1933. The reception included remarks from George Curtis, the Director of the Denver Regional Office and Chairman Cox.

The following day, the Denver Regional Office sponsored the largest securities conference in the region, the 40th Rocky Mountain Securities Conference (begun during the reign of Bob Davenport who served as the head of the Denver Regional Office). With George Curtis acting as chair, he attracted a considerable number of out of town dignitaries to the conference, including Chairman Cox, former Chairman Levitt, Senator Sarbanes, Linda Thomsen and Walter Ricciardi, the top two people in the Division of Enforcement, John White, head of Corp-Fin, Charles Niemeier from the PCAOB and Judge Stanley Sporkin. The cast included a number of folks from the Denver Regional Office, including Amy Norwood, Assistant Regional Director, Don Hoerl, associate regional director, and Kevin Goodman, associate regional director, regulation.

Students from The Race to the Bottom attended the conference and have written posts on the remarks. These posts will appear throughout the day.

Full post as published by The Race to the Bottom on May 13, 2008 (boomark / email).