Securities Forum 2010
Revolution in Reform
Securities Forum 2010 highlights sweeping financial services reforms enacted and proposed by the U.S. Congress as well as practical compliance tips for broker-dealers, investment advisers and securities law practitioners. The Opening General Session will explore whether federal legislation can stabilize the economy and how reforms will impact the securities industry. Two panel presentations, focusing on issues affecting securities product sellers and investment advisers, follow the luncheon. Capping the program is an audience-driven segment featuring Securities Division staff members.
Space is Limited, so Don't Delay!
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**The Department gratefully acknowledges the assistance of the Yale University School of Management in organizing this event.
Now in its 22nd 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.
This year’s program features a luncheon keynote address by David B. Fein, United States Attorney for the District of Connecticut. Appointed by President Barack Obama, David B. Fein was sworn in on May 10, 2010, as the 50th United States Attorney for the District of Connecticut. Prior to his appointment as United States Attorney, Mr. Fein was a partner at the law firm of Wiggin and Dana where he co-chaired the firm’s White-Collar Defense, Investigations and Corporate Compliance Practice Group. At Wiggin and Dana, he represented clients in state and federal governmental investigations, conducted internal and external investigations for corporations and other entities, and counseled clients regarding corporate compliance.
From 1995 to 1996, Mr. Fein served as an Associate White House Counsel to President William Jefferson Clinton. At the White House, Mr. Fein’s portfolio included anti-crime initiatives. From 1989 to 1995, Mr. Fein was an Assistant United States Attorney for the Southern District of New York, prosecuting complex cases involving official corruption, racketeering, money laundering, bank fraud, securities fraud, violent crimes, illegal wiretapping and narcotics offenses. He served as Deputy Chief of the Criminal Division from 1993 to 1994 and Counsel to the United States Attorney from 1994 to 1995. From 1986 to 1989, Mr. Fein was an associate at Debevoise and Plimpton. From 1985 to 1986, he served as a law clerk for the Honorable Frank M. Coffin of the United States Court of Appeals for the First Circuit. Mr. Fein graduated cum laude from Dartmouth College in 1982 and the New York University School of Law in 1985, where he graduated Order of the Coif and was a member of the Senior Board of the N.Y.U. Law Review. Mr. Fein has served as a Visiting Lecturer in Law at the Yale Law School, where he taught a class on Federal Criminal Prosecution.
Agenda9:00 a.m. Registration
10:00 a.m. Welcoming Remarks
10:15 a.m. - 11:45 a.m.
12:00 p.m. - 1:30 p.m.
1:45 p.m. - 3:00 p.m.
Panel A: New Challenges Facing Securities Product Sales
Panel B: Investment Adviser Regulation: Breaking the MoldFor over ten years, investment advisers with $25 million or more in assets under management registered with the Securities and Exchange Commission rather than the states. Financial services reform promises to bring advisers managing less than $100 million under the state registration umbrella. Equally dramatic are plans to impose federal registration and reporting requirements on hedge fund advisers. Other hot topics concern extending fiduciary standards to all who provide investment advice and reassessing the status of financial planners and the designations they use. Is your firm prepared for change? Join this panel of experts to find out.
3:00 p.m. to 4:00 p.m.
Panel D: State Examination and Enforcement Staff
4:00 p.m. Adjourn
Don't miss this unique opportunity to open a dialogue with regulators and network with other financial services industry professionals.