The BISA is pleased to announce the preliminary agenda for its Annual LRC Meeting in Washington, DC. This year, the LRC will receive presentations from key legislative and regulatory officials and from industry leaders regarding regulatory proposals.

Monday, June 1

05:15PM

05:15 — 07:00PM

Registration (13th Floor) — Prior to Reception

Rooftop Reception (13th Floor)

Tuesday, June 2

08:15AM — 08:45AM

Registration and Continental Breakfast (2nd Floor)

08:45AM — 09:00AM

Welcome
John F. Hartigan, Morgan Lewis & Bockius LLP
BISA General Counsel
Richard D. Starr, BISA
Chairman — Legislative, Regulatory & Compliance Committee; Director of Government Relations

09:00AM — 10:20AM

Recent Developments: Implementing Reg R and Bank Examination Process

Panelists:

• Linda S. Sundberg, Senior Special Counsel, U.S. Securities & Exchange Commission
• Stephanie Boccio, National Bank Examiner/Asset Management Technical Risk Expert, Office of the Comptroller of the Currency
• Victoria Pawelski, Compliance Analyst, Division of Supervision and Consumer Protection, Federal Deposit Insurance Corporation
• John F. Hartigan, Morgan, Lewis & Bockius LLP

10:20AM — 10:30AM

Break

10:30AM — 11:30AM

FINRA Examinations: A New Era

Panelists:

• Donald K. Litteau, Associate Director-Examinations, FINRA
• Mark D. Fitterman, Morgan Lewis & Bockius LLP
• Anne C. Flannery, Morgan Lewis & Bockius LLP

11:30AM — 12:30PM

Financial Regulatory Reform and Legislative Activity

Panelists:

• Ethan Sonnichsen, Director of Government Relations, National Association of Insurance Commissioners
• Deborah F. Silberman, Senior Counsel, House Financial Services Committee
• Kathleen W. Collins, Morgan Lewis & Bockius LLP
• Richard D. Starr, BISA

12:30PM — 02:00PM

Working Lunch — Handling the Crisis

Panelists:

• Kevin L. Fein, SVP & CCO, CCO Investment Services
• Paul Weick, SVP & Managing Counsel, Key Bank, N.A.
• Michael D. Burns, VP & CCO, PrimeVest
• John F. Hartigan, Morgan Lewis & Bockius LLP

02:00PM — 03:00PM

Enforcement

Panelists:

• James S. Shorris, EVP & Director of Enforcement, FINRA
• John F. Hartigan , Morgan Lewis & Bockius LLP
• Ben A. Indek, Morgan Lewis & Bockius LLP
• Anne C. Flannery , Morgan Lewis & Bockius LLP

03:00PM — 03:45PM

Structuring the Bank Investment Advisor — Retail and Institutional; Reg R and Wealth Management Structures

Panelists:

• Kathleen W. Collins, Morgan Lewis & Bockius LLP
• Monica Lea Parry, Morgan Lewis & Bockius LLP

03:45PM — 04:30PM

Annuity Sales: Why Now? Documenting Benefits, Selling to Elderly, Big VA Fines. Career Implications.

Panelists:

• Kevin L. Fein, SVP/Chief Compliance Officer, CCO Investment Services Corp.
• Paul Weick Vice, President & Senior Counsel, KeyBank, N.A.
• Michael D. Burns, Chief Compliance Officer, PrimeVest
• Richard D. Starr, BISA

04:30PM

Round-up, Review & Announcements
Richard D. Starr, BISA