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Protecting Investors in 403(b) and 457(b) Plans

As part of its Teacher Investment Outreach program, the SEC's San Francisco Regional Office will host an October 4, 2018 summit to highlight issues facing California educators investing in 403(b) and 457(b) supplemental defined contribution retirement plans. The RISE Summit event will feature SEC Investor Advocate Rick Fleming as the keynote speaker. Lori Schock, Director of the SEC’s Office of Investor Education and Advocacy will be a panelist. The agenda will include industry experts and state and federal regulators.

Registration is Free and Easy

Please register by September 27, 2018 at SECteacheroutreach@sec.gov As event space is limited, registration is subject to confirmation.

For more information, please email SECteacheroutreach@sec.gov or call 415-705-2500 and ask for Cheryl Lawson, Investor Services.

AGENDA | 8:30 a.m. – 12:00 p.m. PT

Agenda and speakers subject to change.

  • 8:30 a.m. – 9:00 a.m. | REGISTRATION AND NETWORKING

  • [+] 9:00 a.m. – 9:30 a.m. | WELCOME REMARKS

    Jina Choi, Regional Director, San Francisco Regional Office, SEC

    Sasha Sidorkin, Dean College of Education, California State University, Sacramento

    KEYNOTE ADDRESS

    Rick Fleming, Investor Advocate, SEC

  • [+] 9:30 a.m. – 10:30 a.m. | REGULATORY FRAMEWORK: California public school employee defined contribution plans

    • Current structure of 403(b) and 457(b) plans for California public school educators
    • Challenges for California public school educators when they enroll in 403(b) and 457(b) plans
    • Regulatory protections for investors in 403(b) and 457(b) plans

    Moderator

    Balbiro Kazla, Deputy Commissioner, Broker Dealer/Investment Adviser Division, California Department of Business Oversight

    Panelists:

    • Sandy Blair, Director, Retirement Readiness, CalSTRS
    • Maggie Ellis, Lead Association Director, Elk Grove Education Association, 5th Grade Teacher
    • Thomas Mellett, District Director, FINRA San Francisco District Office
    • Phyllis Placencia, Supervising Special Investigator, Investigation Branch, Enforcement Division, California Department of Insurance
    • Kristin Snyder, Deputy Director, Office of Compliance Inspections and Examinations; Associate Regional Director - Examinations, San Francisco Regional Office, SEC

  • 10:30 a.m. – 10:45 a.m. | Break

  • [+]10:45 a.m. – 12:00 p.m. | INVESTOR EDUCATION: How to help educators invest wisely

    • Investing in a 403(b) or 457(b) plan as a component of retirement planning
    • Providing neutral education to potential 403(b) and 457(b) plan investors
    • Tools available to protect investors and prevent fraud

    Moderator

    Erin Schneider, Associate Regional Director, Enforcement, San Francisco Regional Office, SEC

    Panelists:

    • Denise Bradford, Retirement Committee Chairperson, CTA, Kindergarten Teacher
    • Thomas Mellett, Deputy Director, West Region, Financial Industry Regulatory Authority
    • Dave Saavedra, Communications & Operations Manager, Supplemental Income Plans, CalPERS
    • Lori Schock, Director, Office of Investor Education and Advocacy, SEC
    • Michael Wilson, Manager, Retirement Readiness, CalSTRS

  • [+]12:00 p.m. | CLOSING REMARKS

    Jina Choi, Regional Director, San Francisco Regional Office, SEC

Location

CalSTRS | Boardroom
100 Waterfront Place
West Sacramento, CA 95605

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Questions?

Contact the San Francisco Office at 415-705-2500

For media inquiries, contact SEC Public Affairs at 202-551-4120