ABA’s Fifth Annual National Institute on Securities Fraud

The aftermath of the global financial crisis continues to cause uncertainty in the areas of securities regulation and enforcement. SEC and DOJ collaboration has increased, with both agencies pursuing aggressive legal theories. Congress has passed the most sweeping changes to the federal securities laws since they were enacted in the 1930s. And state attorney generals continue to assert a significant role in enforcing state securities laws.

This unprecedented confluence of events raises significant questions for industry participants and publicly traded companies that require a forward-looking and flexible approach to avoiding
missteps.

The 2010 program will squarely address the issues and trends that are shaping the direction of securities regulation and enforcement for decades to come, including the status and potential impact of financial reform legislation, the enforcement trends suggested by recent cases, and the priorities of top enforcers. The program will provide valuable strategic and tactical insights to navigate this ever-changing terrain, from the perspective of thought leaders of every persuasion, including judges, prosecutors, regulators, compliance officers, and defense counsel.

The Securities Fraud National Institute Planning Committee, in cooperation with the Criminal Justice Section White Collar Crime Committee and the Business Law Section, will provide an educational and professional forum to discuss.

Thomas Hanusik is the conference co-chair and is the moderator of the topic entitled "Developments, Trends and Expectations in Securities Fraud Investigations and Prosecutions." Dan Zelenko is part of a breakout session, "What Every Outside Regulatory Counsel Should Know: A View From the Inside." Janet Levine is a panelist on the topic of "Sentencing Guidelines in a Securities Fraud Case: Ouch."