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The Washington Court Hotel
525 New Jersey Avenue, NW
Washington, DC 20001
This year’s conference is designed to bring together securities regulators,
securities law professionals, financial services industry representatives,
consumer advocates and legislative and regulatory policymakers
for an in-depth look at key financial services policy issues.
Registration
10:00 am – 11:30 am
Luncheon With Featured Speaker:
Peter Barnes, Senior Washington Correspondent,
Fox Business Network
11:30 am – 1:00 pm
Panel Discussion – The JOBS Act: Future Implications for Investors
1:30 pm – 2:45 pm
In a rare display of bi-partisanship collaboration, Congress and the
White House swiftly passed the JOBS Act, which will significantly
deregulate start-up company fundraising in a compilation of six
bills intended to encourage entrepreneurship and capital formation.
The law’s opponents, including the nation’s leading investor and
consumer advocates, the SEC and top securities law experts, remain
greatly concerned about the potential damage investors may face
from the removal of critical investor protection safeguards. They
also question whether the Act is the engine of growth its proponents
claim.
A panel of leading securities law experts, investor advocates
and regulators will analyze the broad spectrum of changes that the
law will herald, issues that should be addressed in the implementation
process and the future implications for retail investors.
| Moderator: |
Heath Abshure, Arkansas Securities Department |
| Panelists: |
William Black, University of Missouri, Kansas City |
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Robert Pozen, Harvard Business School |
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Jeff Mahoney, Council of Institutional Investors |
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Lynn Turner, LitiNomics |
Featured Speaker:
The Honorable Maxine Waters, U.S. Congresswoman
3:00 pm – 3:30 pm
Panel Discussion – Social Media for Financial Professionals
3:30 pm – 4:30 pm
Financial professionals, regulators and entrepreneurs are increasingly
using social media as a tool to expand their network of contacts and
clients, and to connect with each other. A panel of regulatory and
industry experts will explore social media policies and practices along
with the benefits and compliance challenges social media presents in
today’s financial services marketplace.
| Moderator: |
Marc Minor, New York Investor Protection Bureau |
| Panelists: |
Mitchell Bompey, Morgan Stanley Smith Barney |
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Scott Peterson, Relay Station Social Media |
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Thomas Selman, Financial Industry Regulatory Authority |
Ombudsman Meeting
4:30 pm – 5:30 pm
Reception
6:00 pm – 7:30 pm
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