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Dodd Frank Implementation and Beyond

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					                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
               Administrators Association

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

               Moderator
               Douglas Kelly - Wells Fargo Advisors

               Panelists
               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


               Moderator
               Gerald Baker - SIFMA Compliance and Legal Society

               Panelists
               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
              Pre-dispute Arbitration
              Significant/Notable Securities Litigation Issues
              Securities America Class Action


              Moderator
              I. Scott Bieler - Fidelity Investments

              Panelists
              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
Effort

              Know Your Customer – Suitability
              Regulatory Reporting
              Interaction With Regulators – Examinations
              Registration Issues

              Moderator
              Robert Mooney - Wells Fargo Advisors

              Panelists
              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

              Moderator
              Kenneth Wagner - William Blair & Company

              Panelists
              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

				
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posted:10/18/2011
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