American Bar Association

Live from the SEC - October 6, 2005
A Review of Recent Developments in International Securities Regulation and Enforcement

DVD PURCHASE FORM

The Section of International Law, in conjunction with the Securities and Exchange Commission, is pleased to announce, for the sixth consecutive year, this highly successful broadcast live from the SEC headquarters in Washington, DC to law offices in London (where participants may interact with the speakers), New York and other venues around the world.

This program featured updates on SEC policy including introductory remarks from the new Chairman, Hon. Christopher Cox. Subjects to be covered include: securities offering reform, underwriter due diligence, IFRS and progress on “convergence”, the status of recent rulemaking and enforcement actions under Sarbanes-Oxley (including certifications under Section 404 and Section 307-related rules relating to those “appearing and practicing” before the SEC), regulation of hedge funds, and developments with respect to enforcement (including FCPA and financial fraud cases). Particular attention will be given to issues of extra-territorial reach and multi-jurisdictional cooperation among regulators arising in on-going proceedings relating to current public investigations and developments in the investment company industry.

Securities and Exchange Commission Participants:
     Hon. Christopher Cox, Chairman
     Elizabeth Jacobs, Deputy Director, Office of International Affairs
     Martin Dunn, Deputy Director, Division of Corporation Finance
     Paul Dudek, Chief, Office of International Corporate Finance, Division of Corporation Finance
     Donald Nicolaisen, Chief Accountant
     Giovanni Prezioso, General Counsel
     Paul Berger, Associate Director, Division of Enforcement
     Meyer Eisenberg, Deputy General Counsel and Acting Director, Division of Investment Management
     Robert Plaze, Associate Director, Division of Investment Management
     Douglas Scheidt, Associate Director, Division of Investment Management

For further information on the program, please contact Jessica Elliot, Meetings Coordinator at the ABA Section of International Law – Telephone: 202 662-1663; Fax 202 662-1669; elliotj@staff.abanet.org.


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