Day 1 ‐ August 10, 2015
Opening Remarks – Introduction of Panel 9:00 AM
Panel 1 ‐ 9:15 AM
AARP
David Certner, Legislative Counsel and Legislative Policy Director
Committee on Investment of Employee Benefit Assets
Charles Van Vleet, Chief Investment Officer, Textron Inc.
Financial Planning Coalition
Marilyn Mohrman-Gillis, CFP Board Managing Director, Public
Policy and Communications
V. Raymond Ferrara, Chairman and CEO, ProVise Management Group LLC
Panel 2 ‐ 10:15 AM
AFL-CIO
Shaun C. O'Brien, Assistant Policy Director for Health and Retirement
James D. Keeney
Attorney
Securities Industry and Financial Markets Association
Kenneth E. Bentsen, Jr., President and Chief Executive Officer
Panel 3 ‐ 11:15 AM
Consumer Federation of America
Barbara Roper, Director of Investor Protection
Insured Retirement Institute
Nick Lane, IRI Chairman of the Board of Directors
Head of U.S. Life & Retirement, AXA
Investment Company Institute
David Blass, General Counsel
Panel 4 ‐ 12:15 PM
Business Law Institute, University of Mississippi School of Law
Mercer Bullard, Director
Financial Services Roundtable
Felicia Smith, Vice President and Senior Counsel for Regulatory Affairs
Professor Michael Finke
Director, Retirement Planning and Living, Texas Tech University
Lunch 1:15 PM
Panel 5 ‐ 2:15 PM
America's Health Insurance Plans & Blue Cross Blue Shield Association
Jon Breyfogle, Groom Law Group Chartered
Groom Law Group Chartered
Stephen Saxon and Thomas Roberts
Representing a Group of Insurance Company Clients
Ron Rhoades
Program Director, Assistant Professor of Finance,
Gordon Ford College of Business, Western Kentucky University
Panel 6 ‐ 3:15 PM
Penn Mutual Life Insurance Company
Maurice L. Stewart, Executive Consultant, Retired General Agent
Plan Sponsor Council of America
Stephen McCaffrey, Chairman of PSCA Board
Public Citizen
Bartlett Naylor
Panel 7 ‐ 4:15 PM
Arthur B. Laby
Professor, Rutgers University School of Law
Hilliard Lyons
James R. Allen
Chairman, Chief Executive Officer
J.J.B. Hilliard, W.L. Lyons, LLC
Raymond James
Scott Stolz, Senior Vice President
Private Client Group Products & Solutions
Adjourn For First Day
Day 2 ‐ August 11, 2015
Review of Procedures – Introduction of Panel 9:00 AM
Panel 8 ‐ 9:15 AM (RIA Panel)
Investment Company Institute
Sean Collins, Senior Director of Industry and Financial Analysts
Jonathan Reuter
Associate Professor of Finance,
Carroll School of Management Boston College
Antoinette Schoar
Professor of Finance, MIT Sloan School of Management
American Council of Life Insurers
Carl Wilkerson, Vice President and Chief Counsel, Securities and Litigation
Panel 9 ‐ 10:45 AM (RIA Panel)
U.S. Chamber of Commerce
Ron Bird, Senior Regulatory Economist
Benjamin F. Cummings
Erivan K. Haub School of Business, St. Joseph's University
Anthony Webb,
Senior Research Economist,
Center for Retirement Research at Boston College
Panel 10 ‐ 12:00 PM (RIA Panel)
Martin Neil Baily
Senior Fellow, Brookings Institution
Insured Retirement Institute
J. Lee Covington II, Senior Vice President and General Counsel
Lunch 1:15 PM
Panel 11 ‐ 2:15 PM
Fidelity Investments
Ralph Derbyshire, Senior Vice President and Deputy General Counsel
Garrett Planning Network, Inc.
Sheryl Garrett, Founder and President
Voya Financial, Inc.
Charles Nelson, Chief Executive Officer, Retirement Voya Financial
Panel 12 ‐ 3:15 PM
Better Markets, Inc.
Stephen W. Hall, Securities Specialist
U.S. Chamber of Commerce
Bradford Campbell, Outside Counsel
Drinker Biddle & Reath
Joe Collins
Certified Fraud Examiner
Panel 13 ‐ 4:15 PM
Janney Montgomery Scott LLC
Gregory B. McShea, General Counsel
National Association of Insurance and Financial Advisors (NAIFA)
Juli McNeely, NAIFA President
Dr. Jennifer Knoll
PIABA
Joe Peiffer, President PIABA
Peiffer Rosca Wolf Abdullah Carr & Kane, PLC
Adjourn For Second Day
Day 3 ‐ August 12, 2015
Review of Procedures – Introduction of Panel 9:00 AM
Panel 14 ‐ 9:15 AM
American Council of Life Insurers
James Szostek, Vice President Taxes & Retirement Security
Pension Rights Center
Maria Freese, Senior Policy Advisor
TIAA-CREF
Edward Moslander, Senior Managing Director
Panel 15 ‐ 10:15 AM
Association for Advanced Life Underwriting
Caleb J. Callahan, Senior Vice President, Chief Marketing Officer
ValMark Securities Corp.
Farmers Insurance and Farmers Financial Solutions
Joe Wimpee, Farmers Agent
National Active and Retired Federal Employees Association
Richard Thissen, National President
Panel 16 ‐ 11:15 AM
American Bankers Association
Gerald P. Cleary, Senior Vice President
Northern Trust Company
Center for American Progress
Joe Valenti, Director of Consumer Finance
Russell Investments
Jean-David Larson, Director, Regulatory and Strategic Initiatives
Panel 17 ‐ 12:15 PM
American Retirement Association
Marcy Supovitz, President – Elect
The SPARK Institute, Inc.
Tim Rouse, Executive Director
Lunch 1:15 PM
Panel 18 ‐ 2:15 PM
Americans for Financial Reform
Dr. Marcus Stanley, Policy Director
Financial Services Institute
Dale E. Brown, President and Chief Executive Officer, FSI
W. Mark Smith, Sutherland Asbill & Brennan LLP
Indexed Annuity Leadership Council (IALC)
Jim Poolman, Executive Director
Panel 19 ‐ 3:15 PM
CFA Institute
Linda Rittenhouse, Director, Capital Markets Policy – Americas
Committee for the Fiduciary Standard
Kathleen M. McBride, Chair
Davis & Harman LLP
Kent A. Mason
Panel 20 ‐ 4:15 PM
Committee of Annuity Insurers
Michael L. Hadley and Joseph F. McKeever
Davis & Harman LLP
Empower Retirement
Edmund F. Murphy III, President
Capital Group Companies
Jason Bortz
Adjourn For Third Day
Day 4 ‐ August 13, 2015
Review of Procedures – Introduction of Panel 9:00 AM
Panel 21 ‐ 9:15 AM
Ameriprise Financial
Theresa M. Seys, Vice President & Chief Counsel – Retail Retirement,
Corporate Compensation & Benefits, General Counsel's Organization
Rebalance IRA
Scott Puritz, Managing Director
Stifel Financial Corp.
Ron Kruszewski, Chairman and Chief Executive Officer
Panel 22 ‐ 10:15 AM
American Benefits Council
Lynn Dudley, Senior Vice President, Global Retirement and
Compensation Policy
American Society of Appraisers
Jeffrey Tarbell ASA
Financial Engines
Christopher Jones, Executive Vice President and Chief Investment Officer
Panel 23 ‐ 11:15 AM
Alternative & Direct Investment Securities Association
John H. Grady, Legislative and Regulatory Committee Chair
Chief Strategy and Risk Officer, RCS Capital
Investment Program Association
Mark Goldberg, Chair Emeritus of the IPA
President, Investment Management, W. P. Carey Inc. and
Chairman, Carey Financial, LLC
Managed Funds Association
Stuart J. Kaswell, Executive Vice President & Managing Director,
General Counsel
Panel 24 ‐ 12:15 PM
Appraisal Institute
Scott Robinson, President-Elect
Bond Dealers of America
Michael Nicholas, Chief Executive Officer
Franklin Square Capital Partners
Mike Gerber, Executive Vice President
Panel 25 ‐ 1:15 PM
3ethos
Don Trone, Founder and Chief Executive Officer
U.S. Securities Market Coalition
Gary Katz, Chief Executive Officer, International Securities Exchange
Weyn LLC
Ida Byrd-Hill, Chief Executive Officer
William Michael Cunningham
Economist