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U.S. Securities and Exchange Commission

Securities Enforcement Coordination Conference

United States
Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549

Division of Enforcement

Securities Enforcement Coordination Conference
March 10-11, 2008, Washington D.C.

The Division of Enforcement of the Securities and Exchange Commission is sponsoring a two-day conference on coordinating civil and criminal securities enforcement actions. This program is open only to state, federal, and SRO professionals in the areas of securities regulation and enforcement.

As you know, prosecutions of securities violations have become an increasingly visible and important part of maintaining and restoring investor confidence in the securities markets. This program will review major types of securities violations, analyze current trends, and discuss legal, policy and practical issues related to the coordination of securities cases. We believe the opportunity to meet and discuss these topics with all of you who work in this area will benefit us all.

Enclosed is a list of proposed topics for the conference, along with instructions for registration. I look forward to seeing your delegates in Washington in March.

The deadline for registration is February 29, 2008.

Proposed Topics

Overview of the Commission

  • Organization of the Commission
  • The Roles of the SEC’s various Divisions and Offices

Review of major securities violations and recent cases and schemes

  • Financial Fraud
  • Insider Trading
  • Broker-Dealer Violations
  • Hedge Funds
  • Offering Fraud
  • Market Manipulation

Coordinating civil and criminal cases

  • Parallel Civil and Criminal Cases
  • The Defense Perspective

Registration Information

Who should attend?: The Coordination Conference is designed for staff at both criminal and civil law enforcement agencies who are involved in the enforcement of securities laws. The conference is not open to the general public.

Location: The Conference will take place at the Commission's Headquarters, located at 100 F Street N.E., Washington, D.C. 20549

Schedule: The Conference will begin at 9:30 a.m. and end at 5:00 p.m. each day (March 10-11). Doors open for registration on Monday, March 10, 2008 at 8:45 a.m.

Cost: There is no registration fee. Participants are expected to arrange and pay for all transportation, accommodations and subsistence expenses.

Questions: If you have questions or need further information, please send an e-mail to SECconference@sec.gov.

Registration: The registration deadline is February 29, 2008.

To register, send an e-mail containing the following information to: SECconference@sec.gov

Please include the following information:



Agency Point of Contact

E-mail address
Telephone number
Fax number

Proposed Participant(s)

E-mail address
Telephone number
Cell phone number



Modified: 01/28/2008