Agenda for BISA Legislative, Regulatory & Compliance Symposium...

The BISA is pleased to announce the 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

Tuesday, June 17

03:15 — 05:15PM

05:15 — 07:00PM

Open Registration (13th Floor) — Prior to Reception

Rooftop Cocktail Reception (13th Floor)

Wednesday, June 18

08:15AM — 08:45AM

Registration & Continental Breakfast (2nd Floor)

08:45AM

Welcome
Richard D. Starr, BISA
John F. Hartigan, Morgan Lewis & Bockius LLP

08:50AM — 10:20AM

Reg R: What's Next-Update on Key Issues & Implementation

Panelists:

Linda S. Sundberg, Special Counsel, U.S. Securities & Exchange Commission

Kieran J. Fallon, Asst. General Counsel, Board of Governors of the Federal Reserve System

Andrea Tokheim, Counsel, Board of Governors of the Federal Reserve System

John F. Hartigan, Morgan, Lewis & Bockius LLP

Kathleen W. Collins, Morgan Lewis & Bockius LLP

10:20AM — 10:30AM

Break

10:30AM — 11:30AM

Viewpoints on Treasury Regulatory Proposals

Brett T. Palmer, Managing Director, NAIC — Government Relations

Kieran J. Fallon, Asst. General Counsel, Board of Governors of the Federal Reserve System

Kathleen W. Collins, Morgan Lewis & Bockius LLP

Richard D. Starr, BISA

11:30AM — 12:30PM

FINRA/NASD Enforcement Issues

Panelists:

James S. Shorris, EVP & Executive Director-Enforcement, FINRA

John F. Hartigan, Morgan Lewis & Bockius LLP

Anne C. Flannery, Morgan Lewis & Bockius LLP

12:30PM — 01:30PM

Working Lunch — Buffet Lunch served in Meeting Room
Discussion: Bank Program Compensation Post-Reg R

Panelists:

John F. Hartigan,, Morgan Lewis & Bockius LLP

T. R. Lazo,, Morgan Lewis & Bockius LLP

Richard D. Starr, BISA

01:30PM — 02:30PM

The New Examination Process: How to Be prepared

Panelists:

Donald K. Litteau, Assoc. Director, Examinations Program, FINRA

Mark Fitterman, Morgan Lewis & Bockius LLP

Beth D. Kiesewetter, Morgan Lewis & Bockius LLP

02:30PM — 02:45PM

Break

02:45PM — 03:30PM

Rule 3040 & Proposed Rule 3110

Panelists:

Kevin L. Fein, CCO, CCO Investment Services Corp.

Kevin Maas, CCO, PrimeVest Financial Services, Inc.

John F. Hartigan, Morgan Lewis & Bockius LLP

Richard D. Starr , BISA

03:30PM — 04:30PM

Legislative Update from the House Financial Services Committee — Deputy General Counsel Review of pending actions on Capitol Hill

Panelists:

Lawranne Stewart, Deputy General Counsel, U.S. House of Representatives, Financial Services Committee

Kathleen Collins, Morgan Lewis & Bockius LLP

04:30PM

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