SCHEDULE PLANNING GUIDE - Financial Services Institute

ED SESSIONS
Year for his outstanding contributions to customer service. Before joining SSN,
Dave served as regional compliance manager and special investigations attorney
with InterSecurities, Inc. (ISI). Prior to his affiliation with ISI, he served as assistant
director of compliance at Commonwealth Equity Services, Inc. (now known as
Commonwealth Financial Network, Inc.) and as assistant to the executive director of
the Institute of Certified Financial Planners (now known as the FPA).
dave is licensed to practice law in Massachusetts and Tennessee. Dave also holds
the Series 7, 24, 53, 63, and 65 licenses.
Neal Sullivan is co-chair of Bingham’s Securities Area, a 120-attorney group within
Bingham McCutchen. He is also practice group leader of the firm’s broker-dealer
group. Neal conducts a comprehensive securities regulatory practice and maintains
a particular focus on broker-dealer and investment adviser matters. He regularly
represents clients before the SEC, FINRA, and other self-regulatory organizations
and state securities agencies, frequently concerning emerging regulatory issues. In
addition, he has extensive experience with private and public investigations and
enforcement proceedings brought by the SEC, FINRA, and its predecessor entities
(NASD and NYSE) and state agencies. Neal serves as outside counsel to the Boston
Options Exchange and to Bourse de Montréal with regard to U.S. registration
issues. He was formerly outside counsel to the Boston Stock Exchange.
Neal has appeared before the U.S. Congress to provide testimony on various
SEC proposals and proposed federal oversight of the U.S. capital markets. He is
the former executive director of the North American Securities Administrators
Association and a former vice president, regulation, of the Boston Stock Exchange.
Session Outline—Regulatory Update: What’s On the Agenda
I. Congress
a. Regulatory reform
i. Standard of care
ii. Enhanced regulatory oversight
b. Other issues
II. SEC
a. Strategic plan
i. 12b-1 Fees
ii. Point-of-sale disclosures
iii. Investor education
iv. Municipal securities
b. Other issues
20 2010 FSI Broker- Dealer Conference