The Midwest/Midsouth Securities Law Conference has enjoyed a growing reputation for over three decades. Dedicated exclusively to securities law, the 2012 conference features speakers from across the region and pro-vides a broad overview of developments since the past biennium, including key issues covering both public and private offerings.

Since 1981 this event has offered practical instruction on current developments and trends in securities law practice. Louisville’s Brown Hotel provides a comfortable, easily accessed site for both formal instruction and informal discussions among speakers and conferees.

16th Biennial Midwest/Midsouth

Securities Law ConferenceFebruary 9 & 10, 2012

The Brown HotelLouisville, Kentucky

REGISTER NOW AND TAKE ADVANTAGE OF . . .• Criticalinsightsandupdatesforelevenkeytopicsinaconvenient1-1/2dayconferenceformat

• 10hours(ormore,dependingonjurisdiction)continuingeducationcredit

• Contrastingviewsofmanydifferentspeakersfromacrosstheregion

• Quality,well-organizedwrittenmaterials

• PracticalinstructiongivingyouCLEyoucanuse!

• ComplimentaryregistrantluncheonsponsoredbytheKBABusinessLawSection

16th Biennial

Midwest/Midsouth

SECURITIES LAW CONFERENCE

Comments from prior Securities Law Conference Registrants:

10 CLE Credits, Including 1 Hour of Ethics

University of KentuckyOffice of Continuing Legal Education

Thursday and Friday February 9 & 10, 2012

The Brown HotelLouisville, Kentucky

University of Kentucky Office of Continuing Legal EducationCLE Suite, Room 20 Law BuildingCollege of LawLexington, KY 40506-0048

An Equal Opportunity University

10 CLE credits, including 1 hour of ethics

“This is the fourth or fifth of these seminars that I have

attended, and I believe it is one of the finest.”

“The practical examples were wonderful and very

welcome.”

“An exceptional program. This has grown to become one of the best securities

conferences in the nation.”

Sponsored by:University of Kentucky College of LawOfficeofContinuingLegalEducation

In Cooperation with:TheKBABusinessLawSection

REGISTRATION INFORMATIONThe advance registration fee includes attendance for all sessions, all course materials, Thursday’sluncheon,andrefreshments.Pre-registrationisstronglyrecommended.Ifyoucancel,afullrefundoftuition(less$50administrativecharge)isgivenupto4:30p.m.EST,February7,2012.Ifyouwantcoursematerialsaftercancellation,theywillbemailedaftertheseminarandthecostwillbedeductedfromyourrefund.Norefundsareavailableforcancellationsafterthedeadline;however,materialswillbeforwardedimmediately in full consideration for tuition paid. Registrations are transferrable and substitution of registrants may be made any time before the seminar begins.

SEMINAR LOCATION AND ACCOMMODATIONSTheconferencewillbeheldatTheBrownHotel, locatedat335WestBroadway indowntownLouisville.Parkingisavailableinacitygarageconnectedtothehotelbyanenclosedwalkway.TheGaragecanbeenteredfrom3rdSt.goingsouthor4thSt.goingnorth.AroomblockhasbeenreservedatTheBrownHotel.The room block will expire January 9, 2012.Reservationscanbemadebycalling(502)583-1234or1-888-888-5252.PleasebesuretoidentifyyourselfasbeingwithUniversityofKentuckyContinuingLegalEducation.

PERSONS WITH DISABILITIESWewillmakeeveryefforttoensurethatmeetingsareheldatfacilitieswhicharefullyaccessibletopersonswithmobilitydisabilities.Ifyouplantoattendourprogramand will need other special facilities or assistance relating to a disability, please contact usat(859)257-2921.

CONTINUING EDUCATION CREDITThis course should qualify for 10 hours of credit, including 1 ethics credit, for 60 minute statesincluding,Kentucky,Indiana,andTennessee.50minutestates(includingWestVirginia)shouldconfirmapproximately12hours,including1ethicshour.

ADDITIONAL INFORMATIONWriteor call theOfficeofContinuingLegalEducation,Suite20LawBuilding,UniversityofKentucky,Lexington,KY40506-0048,(859)257-2921orvisitourwebsite at www.ukcle.com if you need additional information or assistance.

16th Biennial Midwest/Midsouth Securities Law Conference

Thursday & Friday February 9 & 10, 2012 – Louisville, Kentucky

Name E-mailAddress

Firm/Affiliation PhoneNumber

StreetAddress(Mailing & Shipping) City State Zip

Foryourprotection,allcreditcardinformationmustbetakenoverthephone.Pleasecallusat(859)257-2921toregisterwithacreditcard.

Make checks payable to the University of Kentuckyandmailto:OfficeofContinuingLegalEducation•Suite20LawBuilding•UniversityofKentucky•Lexington,KY40506-0048PHONE:(859)257-2921 FAX:(859)323-9790 WEBSITE:www.ukcle.com

Please note that a $25.00 fee will be charged for all returned checks.

Rec

For Office Use Doc # Amt

Method of Payment

(circle one)

MasterCardVisa

CheckSorry, we are unable

to accept American Express or

DiscoverCard

Program Planning Committee

C. Craig Bradley, Jr.Stites&HarbisonPLLC

Louisville, Kentucky

KevinP.Bucknam Director,UK/CLE

Lexington, Kentucky

Rutheford B Campbell, Jr.Professor,UniversityofKentucky

College of LawLexington, Kentucky

JamesA.GieselFrostBrownToddLLC

Louisville, Kentucky

DavidW.HarperAttorneyatLaw

Louisville, Kentucky

JuneNalleyKingGreenebaum Doll &McDonaldPLLCLouisville, Kentucky

CliffordA.Roe,Jr.Dinsmore&ShohlLLPCincinnati, Ohio

Gary L. StageFlemingStageLLCIndianapolis,Indiana

J.AllenOverbyBass,Berry&SimsPLCNashville,Tennessee

ManningG.Warren,IIIProfessor,UniversityofLouisvilleSchool of LawLouisville, Kentucky

Cynthia W. Young – Conference ChairWyattTarrant&CombsLLP

Louisville, Kentucky

FRIDAY, FEBRUARY 10, 20128:00 a.m. Continental Breakfast

8:30 a.m. A “Business Law” Update for the Securities LawyerChristopher W.D. JonesGreenebaum, Doll & McDonald PLLCLouisville, Kentucky

9:30 a.m. Agreements Among Stockholders/Investors and IssuersDavid W. HarperAttorney at Law Louisville, Kentucky

10:30 a.m. Morning Break

10:45 a.m. Employment Benefits: A Primer on Section 409AAlison M. StemlerFrost Brown Todd LLC Louisville, Kentucky

11:35 a.m. Ethics for the Securities Law PractitionerCynthia W. YoungWyatt Tarrant & Combs LLP Louisville, Kentucky

12:35 p.m. Conference Adjourns

SECURITIES LAW CONFERENCE16th Biennial Midwest/Midsouth % UK/CLE wishes to thank the

KBA Business Law Section for its sponsorship of funds

for this conference.THURSDAY, FEBRUARY 9, 20127:30 a.m. Registration Table Opens /

Continental Breakfast

8:20 a.m. Welcome & AnnouncementsCynthia W. Young, Conference Chair Wyatt Tarrant & Combs LLPLouisville, Kentucky

8:30 a.m. The Year in Review: Recent Developments and Current Issues Facing the Securities PractitionerC. Craig Bradley, Jr.Stites & Harbison PLLCLouisville, Kentucky

9:30 a.m. Update from the SECJeffrey J. MintonUS Securities and Exchange CommissionWashington, D.C.

10:30 a.m. Morning Break

10:45 a.m. Preparing for the 2012 Proxy SeasonKevin H. DouglasBass, Berry & Sims PLCNashville, Tennessee

11:30 a.m. A Review of and Suggested Updates to Listed Risk FactorsRobert L. Maddox, IIIDinsmore & Shohl LLPLouisville, Kentucky

12:20 p.m. Lunch BreakKBA Business Law Section Annual Meeting

1:30 p.m. Post-Luncheon Break

1:45 p.m. State Securities Regulation: Kentucky, Ohio, Indiana, TennesseeChris NaylorIndiana Securities CommissionerIndianapolis, IndianaBarbara A. DoakDepartment of Commerce and InsuranceNashville, TennesseeColleen KeefeDepartment of Financial InstitutionsFrankfort, KentuckyAndrea SeidtCommissioner, Ohio Division of SecuritiesColumbus, Ohio

2:45 p.m. Afternoon Break

3:00 p.m. Public Companies and Good Corporate Governance: The Use of Codes of Conduct and EthicsJune N. KingGreenebaum Doll & McDonald PLLCLouisville, Kentucky

3:30 p.m. The Wreck of Regulation DRutheford B Campbell, Jr.Professor, University of Kentucky College of LawLexington, Kentucky

4:30 p.m. Recess Institute

Become a fan of UK/CLE on Facebook and receive updates on upcoming courses and

publications, plus special discounts!

Follow us on Twitter for UK/CLE updates on the go and interact with us

live during conferences! @ukcle

PleaseregistermefortheSecuritiesLawConferenceonThursdayandFriday,February9&10,2012.Icannotattendbutpleasesendme____copiesof the conference materials at $55.00 per copy. Choose one: ___CD-ROM___hardcopy (Kentuckyresidents,pleaseadd6%salestaxforatotalof$58.30)I want my course materials on CD-ROM only.

IencloseConferenceTuitionof$325 ($385atdoor).

I want a hard copy of the course materials.IencloseConferenceTuitionof$375 ($400atdoor).

Go Green and SAVE!

Luncheon sponsored by the KBA Business Law Section