THIRD ANNUAL SENIORS SUMMIT

Agenda - Afternoon Program: What Financial Services Firms and Industry Professionals Need to Know About Serving the Senior Investor

1:15 – 1:45 Opening Remarks

SEC Chairman Christopher Cox

Mary Schapiro, Chief Executive Officer, FINRA

Fred Joseph, President, NASAA

Thomas Nelson, Chief Operating Officer, AARP

1:45 – 2:45 Protecting Senior Investors: Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Senior Investors

Panelists:
Lori Richards, Director, Office of Compliance Inspections and Examinations, SEC

Joseph Borg, Director, Alabama Securities Commission

Daniel Sibears, Executive Vice President, Member Regulation Programs, FINRA

Ira Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association

David Tittsworth, Executive Vice President and Executive Director, Investment Adviser Association

Moderator:
SEC Commissioner Luis Aguilar

2:45 – 3:45 Diminished Capacity: What Every Financial Services Professional Should Know

Panelists:
Jason Karlawish, M.D., Associate Professor of Medicine and Medical Ethics, University of Pennsylvania Medical School

Michelle Bryan Oroschakoff, Managing Director and Co-Chief Compliance Officer, Morgan Stanley

Charles Sabatino, Director, ABA Commission on Law and Aging

Ryan Wilson, Strategic Policy Adviser, AARP, Public Policy Institute

Joseph Snyder, Director, Older Adult Protective Services, Philadelphia Corporation for Aging

Moderator:
SEC Commissioner Kathleen Casey

3:45 – 4:00 Break

4:00 – 5:00 Enforcement Trends Involving Seniors

Panelists:
Linda Thomsen, Director, Division of Enforcement, SEC

Susan Merrill, Executive Vice President and Chief of Enforcement, FINRA

Patricia Struck, Administrator, Division of Securities, Wisconsin Department of Financial Institutions

Bradford Campbell, Assistant Secretary of Labor, Employee Benefits Security Administration, U.S. Department of Labor

Susan Voss, Iowa Insurance Commissioner

Moderator:
SEC Commissioner Troy Paredes

5:00 Closing Remarks:

Lori Richards, Director, Office of Compliance Inspections and Examinations, SEC

http://www.sec.gov/investor/seniors/agenda20080922pm.htm