2007 NASPP Annual Conference

Keynote and Special Plenary Session

The Conference will begin with a keynote presentation from Linda Chatman Thomsen, Director of the SEC’s Division of Enforcement.

Immediately following her keynote, Ms. Thomsen will join Alan Dye, of Hogan & Hartson and Section16.net, and Ron Mueller, of Gibson Dunn & Crutcher, for a discussion of Rule 10b5-1 plans. With the SEC scrutinizing the practices that have developed involving these plans, it is critical that companies reexamine all aspects of these plans, from their terms and conditions to how they are disclosed. This discussion could be key to preventing your company—and your executives—from being caught up in the next scandal.

  

Linda Chatman Thomsen Director, Division of Enforcement U.S. Securities and Exchange Commission

Linda is the Director of the Securities and Exchange Commission's Division of Enforcement. She has been a member of the Commission's Division of Enforcement staff for over ten years. She joined the staff in 1995 as an Assistant Chief Litigation Counsel. In 1997 she was named an Assistant Director and was named an Associate Director in 2000. She became the Deputy Director of the Division of Enforcement in 2002. In May 2005, she became the eighth Director of the Division of Enforcement. Before joining the staff of the Commission, Ms. Thomsen was in private practice and also served as an Assistant United States Attorney for the District of Maryland. She received her A.B. from Smith College and her law degree from Harvard University.

Alan L. Dye Partner Hogan & Hartson

Alan is Editor of Section16.net and a Partner with Hogan & Hartson L.L.P., a Washington, D.C. law firm, where he specializes in securities matters. Before joining Hogan & Hartson, Alan spent two years at the SEC's Division of Corporation Finance and served for two years as Special Counsel to the SEC Chairman. Prior to that, Alan served as a law clerk for the Honorable Ellsworth A. Van Graafeiland of the US Court of Appeals for the Second Circuit. Alan is an active member of the American Bar Association, serving as Chairman of the Securities, Commodities and Exchanges Committee of its Administrative Law Section and as a member of the Committee on Federal Regulation of Securities of its Business Law Section. He has written extensively on various issues under the federal securities laws, including his co-authorship of the Section 16 Treatise and Reporting Guide (Executive Press 1994), the Section 16 Forms and Filings Handbook (Executive Press 2000), and the Comprehensive Section 16 Outline (Executive Press 2000). Alan, together with Peter Romeo, also manages the content of Section16.net, a website for Section 16 practitioners and compliance officers. He is a frequent lecturer at professional seminars and was an adjunct professor at the Georgetown University Law Center from 1991-1996.

Ronald O. Mueller Partner Gibson Dunn & Crutcher

Ron Mueller is a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher. Mr. Mueller works in the corporate/securities area with an emphasis on proxy and disclosure issues, corporate governance, executive compensation (including Section 16 and Rule 144) and corporate transactions. From September 1989 to June 1991, Mr. Mueller separated from the firm to work as legal counsel to Commissioner Edward H. Fleischman at the United States Securities & Exchange Commission (SEC). While at the SEC, Mr. Mueller worked on many of the matters before the Commission, including enforcement matters and regulatory initiatives. Mr. Mueller is admitted to practice before the courts of New York and Washington, D.C., and is a member of the District of Columbia Bar Association and the American Bar Association. As well, he is a member of the Subcommittee on Employee Benefits and Executive Compensation of the Committee on Federal Regulation of Securities (Section of Business Law, American Bar Association) and a member of the American Society of Corporate Secretaries. Mr. Mueller has written articles and spoken at seminars about a variety of securities law issues, including trends and developments in proxy disclosures and proxy contests, the SEC's disclosure requirements, corporate governance developments, and executive compensation disclosure rules. Mr. Mueller is a contributing author to A Practical Guide to Section 16, Aspen Law & Business; A Practical Guide to SEC Proxy and Compensation Rules, Aspen Law & Business; and Federal Securities Exchange Act of 1934, Insider Reporting and Short-Swing Trading, Matthew Bender. Mr. Mueller received his J.D. from Columbia Law School in 1986, where he was both a Harlan Fisk Stone Scholar and a James Kent Scholar, and his B.A., magna cum laude, from Vanderbilt University in 1982.