A New Era: Dodd Frank Implementation and Impact
7:30 – 8:20 Registration
8:20 – 8:50 Welcome Remarks:
Christopher Lewis - Edward Jones
James Tricarico - Edward Jones
8:50 – 9:10 Keynote Speaker:
Jack Herstein - Nebraska President-Elect of North American Securities
9:10 – 9:20 Refreshment Break
9:20 – 10:35 Panel 1: General Counsel Panel – Dodd-Frank and Its Impact
Legal Challenges and Opportunities after Dodd Frank
The New Investment Adviser Regulation
Impact of Firms and the Effects on Clients
Douglas Kelly - Wells Fargo Advisors
Brian Amery - Bressler, Amery & Ross, P.C.
Stephen Gannon - Capital One Financial Corporation
David Minnick - Stifel, Nicolaus & Co., Inc.
Andrew Small - Scottrade, Inc.
10:35 – 11:50 Panel 2: Aligning to New Regulations – Practices and Trends
Aligning with New Federal, State and SRO Regulations
A Review of Current Products and the Regulator's Perspective
Risk Management: Identifying Risks and Communicating the Process
Emerging Issues After Dodd-Frank
Gerald Baker - SIFMA Compliance and Legal Society
David Prince - Stephens Inc.
David Rosedahl - Briggs and Morgan
Tonya Solov - Illinois Securities Commission
Grace Vogel - FINRA
11:50 – 1:15 Lunch
Luncheon Presentation -- The New World of Insider Trading
Donald C. Langevoort - Georgetown University Law Center
1:15 – 2:30 Panel 3: Litigation Issues and Regulatory Reform
Litigation under a "Fiduciary" Standard
Significant/Notable Securities Litigation Issues
Securities America Class Action
I. Scott Bieler - Fidelity Investments
Thomas Archer - Gallop, Johnson & Neuman
Lynette McCloud - Edward Jones
William Port - Wells Fargo Advisors
Additional Panelist Invited
2:30 – 3:45 Panel 4: Interaction With Regulators and Overseeing the Compliance
Know Your Customer – Suitability
Interaction With Regulators – Examinations
Robert Mooney - Wells Fargo Advisors
Chad Estep - Stifel, Nicolaus & Co., Inc.
Bari Havlik - Charles Schwab & Co., Inc.
Susan Merrill - Bingham McCutchen LLP
Alexander Moore - Scottrade, Inc.
3:45 – 5:00 Panel 5: Best Practices for Regulatory Relations
Understanding the regulator’s perspective in 2011
Getting the most from ongoing regulatory interaction
Handling examinations and inquiries
Dealing with the regulatory investigation process
Involving the industry with legislative and rulemaking initiatives
Kenneth Wagner - William Blair & Company
Ira Hammerman - SIFMA
David Harris - Greensfelder, Hemker & Gale, P.C.
Jesse Hill - Edward Jones
Michael Rufino - FINRA
5:00 – 5:15 Closing Remarks:
Wesley Ringo – J.J.B. Hilliard, W.L. Lyons LLC
5:15 – 6:00 Reception