SEC and Dodd-Frank Act Regulations Compliance: Emerging Issues and Practical Guidance

Broadcast Date: Wednesday, June 19, 2013 from 12:00 pm to 2:00 pm (ET)
Paula Drake
Jeff Thomas
David Berger
Julie Herzog
Michael MacPhail
Luke Zubrod


About Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

About Ruegsegger Simons Smith & Stern, LLC

Ruegsegger Simons Smith & Stern, LLC is a full-service law firm in Denver, Colorado. The firm prides itself on providing its clients with individualized attention and exceptional value.


About Rothstein Kass

Rothstein Kass provides audit, tax, accounting and advisory services to hedge funds, funds of funds, private equity and venture capital funds, broker-dealers, and registered investment advisors. The firm is recognized internationally as a top service provider on a wide range of organizational, operational and regulatory issues, and recently was recognized by Hedge Funds Review as the top accounting and auditing firm in the nation. The firm also advises on fund structure, both inside and outside the United States, compliance and financial reporting, and tax issues from a federal, state, local and international compliance perspective.


In addition, Rothstein Kass Business Advisory Services, LLC (an affiliate of Rothstein Kass), provides value-added and results-oriented consulting services in the areas of strategy, operations, technology, risk, compliance, dispute resolution and investigations.

Rothstein Kass has offices in California, Colorado, Massachusetts, New Jersey, New York, Texas and the Cayman Islands.


About Schuchat, Herzog & Brenman, LLC

Schuchat, Herzog & Brenman is a boutique law firm in Denver that offers a broad range of capabilities in a relationship-oriented environment. With the expertise they have gained from years of working in some of the country’s largest law firms, and the practical business sense they have gleaned from owning and running businesses, they have the skill, competence and know-how to work with a diverse range of clients on their simplest to most complex needs at reasonable rates.


The corporate/securities department has extensive experience in structuring and organizing legal entities from start-up companies to multi-national joint ventures and has represented businesses in complex securities regulation and compliance matters, financings, mergers and acquisitions, reorganizations and management buyouts.


About Faegre Baker Daniels

Our more than 750 legal and consulting professionals provide the depth and breadth of expertise necessary to solve complex business challenges.


From U.S. locations in Boulder, Denver, Chicago, Fort Wayne, Indianapolis, South Bend, Des Moines, Minneapolis and Washington, D.C. to international locations in Beijing, Shanghai and London, we serve clients in every U.S. state and more than 100 countries.

Our legal expertise includes business and corporate services, environmental law, finance and restructuring, government services, intellectual property, labor and employment, litigation, real estate, construction, regulatory law, tax, wealth management and much more.


About Chatham Financial

Chatham Financial is an independent advisory services and technology firm specializing in hedge accounting, interest rate, FX and commodity risk management. Chatham’s expertise combined with our proven technology empowers clients to strategically direct risk management programs to fit their needs.


Founded in 1991, Chatham serves over 1,000 companies annually, with our practitioners bringing deep derivatives and complex regulatory knowledge to our clients. Our global team of risk management professionals, CPAs, quantitative analysts and software developers provide clients with the tools and confidence required to successfully manage risk.