Why Attend?

This is a must attend event for anyone interested in understanding Rule 2821 compliance
New guidance explained by the most qualified key leaders & experts
Hear directly from key regulators & thought leaders
Interact directly with panel during Q&A

Walter A. Bell

President -The National Association of Insurance Commissioners (NAIC)

Commissioner/Chief Insurance Regulator - Alabama Department of Insurance

                Joe Borg
      President/Commissioner
                     NASAA/

          Alabama Securities

                Commission

* Has held the position of Director for ASC since 1994; as a result of his leadership the Commission has an established reputation as one of the most aggressive enforcement agencies in the United States
 

* Currently president of the North American Securities Administrators Association (NASAA) an international securities regulatory association; also served as president for NASAA, from September 2001 thru September 2002; only one other person has served two terms as president in the 89 year history of NASAA; other previous positions held with NASAA include Board of Directors, Chair of the Enforcement Section and Treasurer

* Has testified before various committees of Congress in such areas as micro-cap securities fraud, criminal elements in the markets, and information-sharing among regulators;
his active participation led to the establishment of state-level task forces to investigate Wall Street firms and promotion of legislation to increase the severity of punishment for white collar crime offenders.
 

* Currently a delegate to an Intergovernmental Expert Group for the United Nations Commission on International Trade Law (UNCITRAL) to prepare a study on International Fraud and the Criminal Misuse and Falsification of Identity

* Previously served as in-house corporate counsel to First Alabama Bank (n/k/a Regions Bank, 1979-1984) and has been an adjunct professor of law at Faulkner University Jones School of Law teaching securities law and banking (1982-2002), and has been a Partner in the Montgomery law firm of Capouano, Wampold, Prestwood & Sansone (1984-1994)
 

* Admitted to practice in Alabama, Florida, New York, U.S. Federal District Courts in Alabama and Florida, the 5th and 11th Circuit Courts of Appeal and the U.S. Supreme Court
 

           Timothy U. Morton

     Executive Vice President

     The National Association

      of Independent Brokers  

        Dealers, Inc. (NAIBD)

* Also the Vice President Development for WBB Securities, LLC, a full service NASD member firm; has been in the securities industry for 25 years, and was President and CEO of JMC Financial Corporation from 1998-2006. JMC was a Broker/dealer specializing in the bank distribution channel and sold nearly $4 billion of fixed and variable annuities and mutual funds through financial institutions.

* Started his career in this industry with Private Ledger (now LPL) in 1982; has served on the board of directors of the National Association of Independent Broker/Dealers (NAIBD) for many years and is now the Executive Vice President

* Also chairs the Membership Committee and the Spring Technology and Compliance Symposium Committee for NAIBD; also a member of the NASD Small Firms Rules Impact Task Force committee.

* Born and raised in the San Diego area and received a degree in Information Systems in 1978 from Coleman College; holds current Life and Disability Insurance, Variable Annuity and NASD Series 7, 24, 51 and 63 licenses

           Mike DeGeorge

         General Counsel

                   NAVA

* Helped in working with regulators to assess the need to issue a regulation with respect to annuity and variable life products

* Involved in providing educational and informational resources to the firms members and the public; protecting customers by encouraging adherence to the highest ethical standards by insurers, distributors and all other participants in the firm's diverse industry

Amy Lynch

                  President

   FrontLine Compliance, LLC

* At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide; from there she moved into the private sector where she served in senior compliance management positions for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser), E*Trade Financial, and RegEd.com

* Later returned to the regulatory side with NASD’s Enforcement Department in Washington, DC. She specialized in heightened regulatory issues confronting the securities industry and was responsible for managing several industry wide “sweeps” conducted by NASD Enforcement during 2003-2005.

* During her distinguished career, has been recognized as an expert on a number of high profile regulatory issues, including variable insurance products and the specific compliance concerns facing the insurance industry.

* One of the first graduates of the NASD Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional (“CRCP”) designation in addition to her B.S. in Marketing and Economics.
 

       Gail Marshall-Smith

              Of Counsel

      Bingham McCutchen

* Westfield State College, Bachelor of Science, 1985; MBA from Rutgers University; BA from College of the Holy Cross

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