Developed in partnership with the WSBA Business Law Section
An annual update from Jason Lee, Associate Director, Division of Enforcement at the U.S. Securities and Exchange Commission, on the SEC's enforcement activities and priorities, and from the Washington State Securities...
Developed in partnership with the WSBA Business Law Section
An annual update from Jason Lee, Associate Director, Division of Enforcement at the U.S. Securities and Exchange Commission, on the SEC's enforcement activities and priorities, and from the Washington State Securities Division on its enforcement actions, proposed and final rules, rule interpretations, and registration processes for companies, broker-dealers, and investment advisers.
A post-program social with free appetizers and a no-host bar will follow from 5:30 to 6:30pm.
FACULTY
Jason Lee - U.S. Securities and Exchange Commission, San Francisco, CA
Faith Anderson - WA Department of Financial Institutions, Securities Division, Olympia, WA
William (“Bill”) Beatty - WA Department of Financial Institutions, Securities Division, Olympia, WA
Brian Guerard - WA Department of Financial Institutions, Securities Division, Olympia, WA
Mark Kissler - WA Department of Financial Institutions, Securities Division, Olympia, WA
Holly Mack-Kretzler - WA Department of Financial Institutions, Securities Division, Olympia, WA
Drew McCollum - WA Department of Financial Institutions, Securities Division, Olympia, WA
Jill Vallely - WA Department of Financial Institutions, Securities Division, Olympia, WA
Adam Yeaton - WA Department of Financial Institutions, Securities Division, Olympia, WA
SCHEDULE
3:00 p.m. Registration Opens
3:30 p.m. Program Begins
5:30 p.m. Adjourn
5:30-6:30 p.m. Post-Program Social
For accessibility or accommodation requests, or other questions, please email
cle@wsba.org or call 206-443-9722 (toll free: 800-945-9722).
Seminar Registration Transfers, Refunds and Cancellations: In most circumstances, if you cannot attend the live event, we can
transfer your registration to the on-demand product, once available (8-10 weeks from the program delivery date). Generally, for
webcast/webinar registrations, tuition fees may be refunded, less $25 for processing, for written cancellations postmarked, emailed, or faxed up
to the start of the event. For in-person registrations, tuition fees may be refunded, less $25 for processing, for written cancellations
postmarked, emailed, or faxed by 5 p.m. up to three business days before the event. No refunds will be provided after the dates specified. You
may also send a substitute in lieu of canceling.
When applicable, specific exceptions to these policies will be noted on individual event
registration pages. Please email
cle@wsba.org with any requests or questions.