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All times listed are local to the attendee’s city.
Roundtables will take place at the following times:
- Austin: 9:30 a.m. – 12:00 p.m. CT
- Los Angeles: 9:30 a.m. – 12:00 p.m. PT
- San Francisco: 1:00 – 4:00 p.m. PT
- Atlanta: 9:30 a.m. – 12:00 p.m. ET
- Denver: 9:30 a.m. – 12:00 p.m. MT
- Philadelphia: 9:30 a.m. – 12:00 p.m. ET
Each Roundtable will consist of the following parts:
- Part 1 (45 minutes): Current SEC Inspection Priorities and Compliance Issues, Securities and Exchange Commission Regional Office
- Austin:
- Marshall Gandy, Co-National Associate Director of the Investment Adviser/Investment Company Examination Program, SEC
- Los Angeles:
- J. Cindy Eson, Associate Regional Director (Examinations), SEC Los Angeles Regional Office
- Atlanta:
- H. Edward McConnell, Assistant Regional Director (Examinations), SEC Atlanta Regional Office
- Denver:
- Thomas Piccone, Associate Regional Director (Examinations), SEC Denver Regional Office
- Shannon Seiferth, Regulatory Counsel, SEC Denver Regional Office
- Philadelphia:
- Mark Dowdell, Associate Regional Director, SEC Philadelphia Regional Office
- Austin:
- Coffee Break (15 minutes)
- Part 2 (15 minutes): Regulatory Update
- Part 3 (75 minutes): Peer-to-Peer Roundtable Discussion