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Securities Forum 2009

Financial Services Reform: What It Means To You

U.S. Capitol
Securities Forum 2009 will be held on Tuesday, October 20, 2009 at the New Haven Lawn Club, 193 Whitney Avenue in New Haven, Connecticut. 
The theme of this year's program will be Frontiers of Regulatory Reform, with a special emphasis on the Obama Administration’s reform plan and what it affects – risk management, traditional regulators, hedge funds, advisers, mandatory arbitration, derivatives – and more.  The program will also include special segments on regulatory updates of interest to investment advisers and broker-dealers. 
The program fee is a low $70 per person and includes a luncheon. And multiple attendees from the same firm only pay $60 per person.  Email us for further information.

Space is Limited, so Don't Delay!
*Due to the shortened schedule 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.

Registration Form (fillable)
(PDF file, 82 KB)

Program Schedule
(PDF file, 348 KB)

Now in its 21st 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.

Keynote Speaker

Dr. Gary B. Gorton, Frederick Frank Class of 1954 Professor of Management and Finance at the Yale University School of Management, will deliver the keynote address.  Prior to joining the Yale faculty, Dr. Gorton was a professor of banking and finance at The Wharton School of the University of Pennsylvania. He also served as a research associate of the National Bureau of Economic Research and a member of the Moody's Investors Services Academic Advisory Panel.  Dr. Gorton's long list of credentials also includes directing the FDIC's research program on banks and the economy; teaching at the University of Chicago Graduate School of Business; and working as a senior economist at the Federal Reserve Bank of Philadelphia.  His research has been featured in the American Economic Review, the Review of Economic Studies, the Review of Financial Studies, the Journal of Economic Theory, the Journal of Political Economy, the Journal of Finance, the Journal of Monetary Economics, the Journal of Business, and the Journal of Money, Credit, and Banking.  Dr. Gorton received his doctorate in economics from the University of Rochester, master's degrees in economics from the University of Rochester and Cleveland State University, and a master's degree in Chinese Studies from the University of Michigan.


11:30 a.m. Registration
12:00 p.m. -
1:30 p.m.
Luncheon and Keynote Address
1:45 p.m. -
2:45 p.m.
General Session: 
Frontiers of Regulatory Reform
3:00 p.m. -
4:00 p.m.
Breakout Sessions:
  • Broker-dealer Regulatory Update
  • Investment Adviser Regulatory Update
4:00 p.m. Adjourn

Each panel includes an ample opportunity for you to pose questions directly to regulators. Equally important, you will have an opportunity to network and compare notes with other financial services industry professionals.