State of Connecticut Department of Banking

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Department of Banking to Host 21st Annual
Securities Forum in New Haven

September 30, 2009

The State of Connecticut Department of Banking will host its 21st annual Securities Forum on Tuesday, October 20, 2009 from 12:00 p.m. to 4:00 p.m. at the New Haven Lawn Club in New Haven, Connecticut.  The theme of this year’s event is “Financial Services Reform: What It Means To You”, and will focus on the Obama Administration’s Plan for Financial Regulatory Reform.  The conference will also highlight regulatory developments of interest to investment advisers and broker-dealers.

A general session, entitled “Frontiers of Regulatory Reform” will focus on how President Obama’s reform plan may affect the regulation of the securities industry.  Participants in this panel include Connecticut Banking Commissioner Howard F. Pitkin, Texas Securities Commissioner Denise Voigt Crawford, FDIC Boston Area Director Daniel E. Frye, Harold B. Finn, III, Esq., Chair of the Securities Advisory Council to the Department of Banking and Marilyn Ward Ford, Professor of Law at the Quinnipiac University School of Law.  This is sure to be a lively panel discussion. 

We are pleased this year to welcome Dr. Gary B. Gorton, Frederick Frank Class of 1954 Professor of Management and Finance at the Yale University School of Management, who will deliver the keynote address.

The registration fee is $70 per person, discounted to $60 per person for multiple attendees from the same organization, and includes course materials and a luncheon. 

For further information, call the agency at (860) 240-8176, or Toll-free at 1-800-831-7225, ext. 8176, or visit the Department of Banking’s Web site, to read the agenda and download the registration form.

A detailed program schedule is attached.