Submitted for 8 General CLE Credits, including 1.

5 Ethics Credits

Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association

LIVE PROGRAM ONLY: APRIL 13, 2012

At the Denver Marriott City Center 1701 California Street, Denver, CO The 44th Annual Rocky Mountain Securities Conference provides a lineup of respected presenters who are well known throughout the securities profession.
TOPICS INCLUDE:

I Enforcement Views I The Perspective from the Defense I Corporate Finance I Small Cap Financing I Ethics I Corporate Governance

UNMATCHED NETWORKING OPPORTUNITIES! Hear from local, statewide and national practice leaders!

The Rocky Mountain Region's PREMIER Securities Conference - Presented by Many of the Country's Most Knowledgeable Securities Practitioners!
REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobar.org/cle

Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association

ou would have to travel to Washington DC or New York and pay thousands of dollars to find a conference that offers as much as the Rocky Mountain Securities Conference does for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver!

APRIL 13, 2012

Denver Marriott City Center
1701 California Street, Denver, CO

LIVE PROGRAM ONLY:

IF YOU WANT TO GET THE FACTS FROM THE EXPERTS, DON'T MISS THIS CONFERENCE!
PROGRAM AGENDA: APRIL 13, 2012
7:15 am Registration

Submitted for 8 General CLE Credits, including 1.5 Ethics Credits

REGISTER TODAY SEATING IS LIMITED!

8:00 am Welcoming Remarks Donald Hoerl, Program Chair, Regional Director, Denver Regional Office, Securities and Exchange Commission Gary Abrams, Executive Director, Colorado Bar Association CLE 8:15 am KEYNOTE SPEAKER: Commissioner Daniel Gallagher, Securities and Exchange Commission Introduction by George Curtis, Partner, Gibson, Dunn & Crutcher, LLP; Former Deputy Enforcement Director, Securities and Exchange Commission 8:45 am Enforcement Views Panelists: Carlo diFlorio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission Robert Khuzami, Director, Division of Enforcement, Securities and Exchange Commission John Walsh, US Attorney, District of Colorado Moderated by: Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission 9:45 am The Perspective from the Defense Panelists: Randall Fons, Partner, Morrison Foerster Joan McKown, Partner, Jones Day Holly Sollod, Partner, Holland & Hart LLP David Zisser, Of Counsel, Davis Graham & Stubbs LLP Moderated by: Daniel Shea, Partner, Hogan Lovells 10:45 am Networking Break

PROGRAM AGENDA: APRIL 13, 2012 continued

11:00 am Corporate Finance Panelists: Shelly Parratt, Deputy Director, Division of Corporate Finance, Securities and Exchange Commission Jason Day, Partner, Perkins Coie Jeffrey Sherman, Special Counsel, Faegre Baker Daniels Moderated by: John Olson, Partner, Gibson, Dunn & Crutcher, LLP 12:00 pm Lunch Presentation: What Securities Lawyers Need to Know About the Brave New World of Global Auditing (And Why It Is Changing Main Street) James Doty, Chairman, Public Company Accounting Oversight Board (PCAOB) 1:15 pm Ethics Panelists: Rich Baer, Executive VP and Chief Legal Officer, UnitedHealth Group John Olson, Gibson, Dunn & Crutcher, LLP Margaret McLean, Chief Ethics and Compliance Officer, CH2M Hill Phillip Rudolph, Executive VP, General Counsel & Chief Ethics Officer, Jack in the Box Inc. Moderated by: Linda Thomsen, Partner, Davis, Polk & Wardwell, LLP 2:30 pm Corporate Governance Presented by: Rich Baer, Executive VP and Chief Legal Officer, UnitedHealth Group Josiah Hatch, Partner, Ducker, Montgomery, Lewis & Bess, P.C. John Olson, Partner, Gibson, Dunn & Crutcher, LLP Moderated by: Cathy Krendl, Partner, Krendl, Krendl, Sachnoff & Way, P.C. 3:30 pm Networking Break 3:45 pm BREAKOUT SESSIONS - Choose 1 of 2 I Small Cap Financing Panelists: Frank Birgfeld, The St. Croix Group LLC Daniel Jablonsky, Shareholder, Brownstein Hyatt Farber Schreck LLP Gerald J. Laporte, Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission Moderated by: Reid Godbolt, Shareholder, Jones & Keller I Regulated Entities Panelists: Andrew Bowden, Associate Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission Fred Joseph, Commissioner, Colorado Division of Securities Jacqueline Whelan, Financial Industry Regulatory Authority (FINRA) Senior Director, Regional Chief Counsel Moderated by: Kevin Goodman, Associate Regional Director Regulation, Securities and Exchange Commission 5:00 pm Adjourn

The Conference is being held at the Denver Marriott City Center Hotel
1701 California Street, Denver, CO 80202 CLE has reserved a small block of rooms for guests of the Conference at the Denver Marriott City Center Hotel. Room rates start at $189 plus applicable taxes. Please call 1-800-228-9290 to make your reservation. When making your reservation, in order to receive the group room rate, please indicate that you are a guest of the 44th Annual Rocky Mountain Securities Conference. Please make your reservation by March 25, 2012. Rooms will be released after this date.

FACULTY AND PLANNING COMMITTEE:

PLANNING COMMITTEE: George Curtis* Partner, Gibson, Dunn & Crutcher, LLP Former Deputy Enforcement Director, Securities and Exchange Commission Denver, CO Donald Hoerl* Program Chair Regional Director, Securities and Exchange Commission Denver, CO Robert Davenport Of Counsel, Jones & Keller, P.C. Former Regional Director, Securities and Exchange Commission Denver, CO Daniel Shea* Partner, Hogan Lovells Former Regional Director, Securities and Exchange Commission Denver, CO *also faculty FACULTY: Rich Baer Executive VP and Chief Legal Officer United Healthcare UnitedHealth Group Minneapolis, MN Frank Birgfeld The St. Croix Group LLC Centennial, CO Andrew Bowden Associate Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission Washington, DC Jason Day Partner, Perkins Coie Denver, CO Carlo diFlorio Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission Washington, DC James Doty Chairman, Public Company Accounting Oversight Board (PCAOB) Washington, DC Commissioner Daniel Gallagher Securities and Exchange Commission Washington, DC Randall Fons Partner, Morrison Foerster Former Regional Director, SEC Denver, CO Reid Godbolt Shareholder, Jones & Keller Denver, CO Kevin Goodman Associate Regional Director Regulation, Securities and Exchange Commission Denver, CO Josiah Hatch, III Partner, Ducker, Montgomery, Lewis & Bess, P.C. Denver, CO Daniel Jablonsky Shareholder, Brownstein Hyatt Farber Schreck LLP Denver, CO Fred Joseph Banking and Securities Commissioner, Colorado Division of Securities Denver, CO Robert Khuzami Director, Division of Enforcement, Securities and Exchange Commission Washington, DC Cathy Krendl Partner, Krendl, Krendl, Sachnoff & Way, P.C. Denver, CO Gerald J. Laporte Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission Washington, DC Margaret McLean Chief Ethics and Compliance Officer, CH2M Hill Denver, CO Joan McKown Partner, Jones Day Washington, DC John Olson Partner, Gibson, Dunn & Crutcher, LLP Washington, DC Shelley Parratt Deputy Director, Division of Corporation Finance, Securities and Exchange Commission Washington, DC Phillip Rudolph Executive VP, General Counsel & Chief Ethics Officer Jack in the Box Inc. San Diego, CA Jeffrey Sherman Special Counsel, Faegre Baker Daniels LLP Denver, CO Holly Sollod Partner, Holland & Hart LLP Denver, CO Linda Thomsen Partner, Davis, Polk & Wardwell, LLP Former Enforcement Director, Securities and Exchange Commission Washington, DC John Walsh US Attorney District of Colorado Denver, CO Jacqueline Whelan Financial Industry Regulatory Authority (FINRA) Senior Director, Regional Chief Counsel San Francisco, CA David Zisser Of Counsel, Davis Graham & Stubbs LLP Denver, CO

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobar.org/cle

44TH ANNUAL ROCKY MOUNTAIN SECURITIES CONFERENCE

Register by PHONE
when using VISA, MC or AmEx

Or FAX form to
when using VISA, MC or AmEx

Or MAIL form to
CLE in Colorado 1900 Grant St, Suite 300 Denver, CO 80203-4303

Or Register ONLINE
when using VISA, MC or AmEx

In Denver: (303) 860-0608 Toll-Free: (888) 860-2531

FAX to: (303) 860-0624

Go to www.cobar.org/cle

LIVE PROGRAM ORDER FORM In Denver at the Denver Marriott City Center, 1701 California Street, Denver, CO 80202
Your course tuition includes: Paper course materials, admission to the entire Conference including lunch. You MUST indicate if you plan to attend the luncheon or one will not be ordered for you. An additional discount will be offered to attendees who elect to receive their materials digitally on flash drive.

LIVE PROGRAM ONLY: APRIL 13, 2012

INDIVIDUAL TUITION: (BL041312L)

Additional Savings on Flash Drive Paper Materials Non-Member ..........................................................J $379............................................J $399 CBA Member ..........................................................J $329............................................J $349 Colorado CPA Society Member................................J $329............................................J $349 CBA Business Law Section Member ..........................J $299............................................J $319 Government Attorney ..............................................J $279............................................J $299

LUNCHEON: J YES I will attend the luncheon J I require a vegetarian selection BREAKOUT SESSIONS 3:45 - 5:00 pm (Select one): J Small Corporate Finance

J Regulated Entities
LIVE PROGRAM ORDER FORM TOTAL $ HOMESTUDY ORDER FORM
To receive CLE Credit you must purchase both the course materials AND the recorded seminar. Materials will be mailed to you approximately 2 weeks after live program.

PAPER COURSE MATERIALS ONLY: (BL041312C) No CLE credit given

J CBA Member: $129

J Non-Member: $159

COURSE MATERIALS AND RECORDED PROGRAM: Full CLE credit given

J CBA Member: $349 J Non-Member: $399 J Recorded Program on CD and Paper Course Materials (BL041312D) J Online Recorded Program and Downloadable Course Materials
Available online only instructions will be e-mailed to you after registration. Please indicate which recorded program format you prefer:

J Video-On-Demand (BL041312N) J MP3 (BL041312J)

NOTE: Shipping & handling only applies to orders you receive via mail.

Price $ Shipping & Handling $ Subtotal $

10.00

Applicable Sales Tax (7.72% Denver, 4.1% RTD and 2.9% rest of Colo.) $

HOMESTUDY TOTAL $
Name ________________________________________________ Atty. Reg. # _______________________ _______________________ Firm/Organization____________________________________________________________________________________ E-Mail Address ________________________________________________________________________________________________________________ Street Address __________________________________________________________________________________________________ City ______________________________________________________________ State __________ Zip ____________________ Telephone ( ) ______________________________________ Fax ( ) ________________________________

J Enclosed is my check made payable to CBA-CLE

J VISA

J MasterCard

J AmEx

Credit Card # ______________________________________________________________ Exp. Date ________________ Signature ______________________________________________________________________ ______________________________________________________________________

Required for credit card orders

CANCELLATION POLICY: If you are unable to attend, please notify CBA-CLE by April 6, 2012 and we will gladly refund your tuition in full or transfer your tuition to the homestudy. Cancellations after April 6 will be refunded less a $50 cancellation fee.

CLE Use Only: Check #: ____________________________ Approval #: ________________________

Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association
Nonprofit Org. U.S. Postage Paid Permit No. 1638

1900 Grant Street, Suite 300, Denver, Colorado 80203-4303

Denver, CO

LIVE PROGRAM ONLY: APRIL 13, 2012

At the Denver Marriott City Center 1701 California Street, Denver, CO

CLE CREDITS: Submitted for 8 General CLE Credits, including 1.5 Ethics Credits

The Rocky Mountain Region's PREMIER Securities Conference - Presented by Many of the Country's Most Knowledgeable Securities Practitioners!

Register Today Seating is Limited!

LIVE ONLY!

REGISTER FOR THIS PROGRAM ONLINE! Go to www.cobar.org/cle