Meeting Materials

GENERAL SESSION ---> 8:30am — 10:00am
Dialogue with Area Regulators - OPEN
Donna C. Esau, U.S. Securities & Exchange Commission
Theodore J. Sawicki, Alston & Bird LLP
Daniel J. Stekef, FINRA

Session I ---> 10:15am — 11:30am
I(a) BD - Suitability and Know Your Customer - One Year Later
Ken Bell, Cetera Financial Group
Henry Sanchez, Jr., Oyster Consulting, LLC

I(b) IA/PF—Books and Records
Daniel E. LeGaye, The LeGaye Law Firm, PC
Christine M. Slate, Barrett Capital Management

I(c) PF/HF - An Overview of the Hot Buttons and Pitfalls
Katherine S. Addleman, Haynes and Boone, LLP
Adan D. Araujo, Oak Hill Investment Management

Session II ---> 12:45pm — 2:00pm
II(a) GI — Due Diligence on Third Parties
Rachel Buie, Yacktman Asset Management
Carolyn R. May, Compliance Consultant
David M. Sobel, Abel/Noser Corp.

II(b) GI — Introduction to Electronic Trading
Louis Dempsey, Renaissance Regulatory Services, Inc.
Lee A. Schneider, Debevoise & Plimpton, LLP

II(c) GI — Current Hot Products
Stephen Pope, Red Oak Compliance
Ginny Voos, Bridge Capital Associates, Inc.
Benette Zivley, Munsch Hardt Kopf & Harr, P.C.

Session III ---> 2:15pm — 3:30pm
III(a) BD — Regulatory Exams
Ethan H. Cohen, Ballard Spahr LLP
Patricia M. Harrison, Simmons & Company International

III(b) IA — Regulatory Exams
Patricia E. Flynn, INTECH
Michael K. Wolensky, Schiff Hardin LLP

III(c) PF/HF — Regulatory Exams
Michele L. Gibbons, Jones Day
Juneau J. Lee, Hayman Capital Management, L.P.

Session IV ---> 3:45pm — 5:00pm
IV(a) BD — Communications with the Public
Cathy Vasilev, Red Oak Compliance Solutions LLC
Krien VerBerkmoes III, VALIC Financial Advisors, Inc.

IV(b) IA/PF/HF - Identifying Conflicts of Interest
Elizabeth Scalf, Heartland Advisors, Inc.
Linda A. Shirkey,The Advisor’s Resource
Morgan Whatley, Caymus Capital Partners, LP

IV(c) PF/HF - The Compliance Issues for Various Private Fund Structures and Business Models - OPEN
Stephen E. Donahue, U.S. Securities & Exchange Commission
Patricia E. Flynn, INTECH
Ivan P. Harris, Morgan, Lewis & Bockius LLP


Lab Materials

BD TRACK ---> 9:00am — 10:30am
BD LAB 1: Conducting Your 3012 Annual Review
Richard M. Nummi, Nummi & Associates, P.A.
Sander J. Ressler, EMG Capital, LLC

IA/PF/HF Track ---> 9:00am — 10:30am
IA/PF/HF LAB 1: Conducting Your 206(4)-7 Annual Review
T. Gregory Reymann, II, Transamerica Asset Management, Inc.
Carl M. Rizzo, ALARIC Compliance Services, LLC

BD TRACK ---> 10:45am — 12:15pm
BD LAB 2: Advertising/Marketing/Social Media
Murtazza A. Sardharwala, First Command Financial Services, Inc.
Scott N. Sherman, Baker, Donelson, Bearman, Caldwell & Berkowitz, PC

IA/PF/HF Track ---> 10:45am — 12:15pm
IA/PF/HF LAB 2: Advertising/Marketing/Social Media
Jeffrey R. Blumberg, Fox, Swibel, Levin & Carroll, LLP
Deborah A. Lamb, Parametric Portfolio Associates, LLC

BD TRACK ---> 1:30pm — 3:00pm
BD LAB 3: Ethics Are Important - But How Do I Make It Practical?
James A. Hooks, LPL Financial Services
Cathleen Seneca, LPL Financial Services

IA/PF/HF Track ---> 1:30pm — 3:00pm
IA/PF/HF LAB 3: Ethics Are Important - But How Do I Make It Practical?
Adan D. Araujo, Oak Hill Investment Management
Thomas K. Potter, III, Burr & Forman, LLP