Securities Forum 2010
Revolution in Reform
|Securities Forum 2010
will be held on Tuesday, October 19, 2010
at the New Haven Lawn Club
, 193 Whitney Avenue in New Haven, Connecticut.
The theme of this year's program is Revolution in Reform.
Securities Forum 2010 highlights sweeping financial services reforms enacted and proposed by the U.S. Congress as well as practical compliance tips for broker-dealers, investment advisers and securities law practitioners. The Opening General Session will explore whether federal legislation can stabilize the economy and how reforms will impact the securities industry. Two panel presentations, focusing on issues affecting securities product sellers and investment advisers, follow the luncheon. Capping the program is an audience-driven segment featuring Securities Division staff members.
The program fee is a low $70 per person, and includes a luncheon. This fee is discounted to $65 per person (2-4 attendees from the same firm) or $60 per person (5 or more attendees from the same firm).
for further information, or contact Debra Sciarra, Murtha Cullina LLP, at 860-240-6084.
Space is Limited, so Don't Delay!
*Due to the streamlined program and cost factors, continuing education credit will not be available for this event.
**The Department gratefully acknowledges the assistance of the Yale University School of Management in organizing this event.
Now in its 22nd year, Securities Forum has kept broker-dealers, investment advisers, financial planners, securities attorneys, bankers, insurance agents, accountants and other financial professionals up-to-date on regulatory developments.
This year’s program features a luncheon keynote address by David B. Fein, United States Attorney for the District of Connecticut. Appointed by President Barack Obama, David B. Fein was sworn in on May 10, 2010, as the 50th United States Attorney for the District of Connecticut. Prior to his appointment as United States Attorney, Mr. Fein was a partner at the law firm of Wiggin and Dana where he co-chaired the firm’s White-Collar Defense, Investigations and Corporate Compliance Practice Group. At Wiggin and Dana, he represented clients in state and federal governmental investigations, conducted internal and external investigations for corporations and other entities, and counseled clients regarding corporate compliance.
From 1995 to 1996, Mr. Fein served as an Associate White House Counsel to President William Jefferson Clinton. At the White House, Mr. Fein’s portfolio included anti-crime initiatives. From 1989 to 1995, Mr. Fein was an Assistant United States Attorney for the Southern District of New York, prosecuting complex cases involving official corruption, racketeering, money laundering, bank fraud, securities fraud, violent crimes, illegal wiretapping and narcotics offenses. He served as Deputy Chief of the Criminal Division from 1993 to 1994 and Counsel to the United States Attorney from 1994 to 1995. From 1986 to 1989, Mr. Fein was an associate at Debevoise and Plimpton. From 1985 to 1986, he served as a law clerk for the Honorable Frank M. Coffin of the United States Court of Appeals for the First Circuit. Mr. Fein graduated cum laude from Dartmouth College in 1982 and the New York University School of Law in 1985, where he graduated Order of the Coif and was a member of the Senior Board of the N.Y.U. Law Review. Mr. Fein has served as a Visiting Lecturer in Law at the Yale Law School, where he taught a class on Federal Criminal Prosecution.
9:00 a.m. Registration
10:00 a.m. Welcoming Remarks
10:15 a.m. - 11:45 a.m.
General Session: Revolution in Reform
Can Congress stabilize the economy by dramatically changing how the financial markets are regulated? Can the federal government control systemic risk and shield the country from economic collapse? Sweeping reforms, originally proposed by President Obama and Senator Christopher Dodd, are underway that will transform the operations of myriad financial players – banks, securities firms, investment advisers, hedge funds, mortgage originators and more. This session will explain the new regulatory structure and its practical consequences for securities compliance personnel.
12:00 p.m. - 1:30 p.m.
Luncheon and Keynote Address
1:45 p.m. - 3:00 p.m.
Panel A: New Challenges Facing Securities Product Sales
With its focus on transparency and accountability, how will financial services reform affect the way private placements and other securities offerings are sold? Are additional disclosures to investors warranted? Will more stringent rules affecting “bad actors” impact issuers’ use of finders and other salespersons? This panel will explore these issues and other regulatory developments occurring over the past year.
Panel B: Investment Adviser Regulation: Breaking the Mold
For over ten years, investment advisers with $25 million or more in assets under management registered with the Securities and Exchange Commission rather than the states. Financial services reform promises to bring advisers managing less than $100 million under the state registration umbrella. Equally dramatic are plans to impose federal registration and reporting requirements on hedge fund advisers. Other hot topics concern extending fiduciary standards to all who provide investment advice and reassessing the status of financial planners and the designations they use. Is your firm prepared for change? Join this panel of experts to find out.
3:00 p.m. to 4:00 p.m.
Rendezvous with the Securities Division: An Open Mike Segment
How many times have you left a conference wondering, “Why didn’t the speaker cover that topic?” or “Why didn’t I ask that question?” During this informal session, you set the agenda. Securities Division staff members will make themselves available to address issues on the topic of your choice. Whether you’re concerned with examination procedures, critical enforcement cases or a licensing dilemma, this session is for you.
Panel C: State Licensing and Registration Staff
Panel D: State Examination and Enforcement Staff
4:00 p.m. Adjourn
Don't miss this unique opportunity to open a dialogue with regulators and network with other financial services industry professionals.