Department of Banking logo

22nd Annual Securities Forum to Spotlight Financial Services Reform
Connecticut U.S. Attorney David Fein to Deliver Keynote Address

September 20, 2010

The State of Connecticut Department of Banking will host its 22nd annual Securities Forum on Tuesday, October 19, 2010 from 10:00 a.m. to 4:00 p.m. at the New Haven Lawn Club in New Haven, Connecticut.  The theme of this year’s event is “Revolution in Reform.”  The program will highlight groundbreaking economic reforms enacted and proposed by the U.S. Congress.  The conference will also focus on regulatory developments of interest to investment advisers and broker-dealers.

Launching the program is an Opening General Session exploring whether federal legislation can stabilize the economy.  Afternoon breakout sessions will zero in on financial reform’s impact on business capital raising and on the regulation of investment advisers.  Capping the program is an audience-driven segment featuring Securities Division staff members.

This year, we are pleased to welcome David Fein, U.S. Attorney for the District of Connecticut, who will deliver the luncheon keynote address.  Appointed as Connecticut's U.S. Attorney by President Barack Obama in May 2010, Mr. Fein brings to the position years of experience investigating white collar crime, racketeering, money laundering, bank fraud and securities fraud.

The $70 registration fee includes course materials and a luncheon.  Group discounts of $65 per person for 2-4 attendees from the same organization, and $60 for 5 or more attendees from the same firm are available..  The deadline to register is October 12, 2010.

For more information on this event, visit the Department of Banking’s website, at, to read the agenda and download the registration form.

A detailed program schedule is available at: