Day 1 ‐ August 10, 2015

Opening Remarks – Introduction of Panel 9:00 AM

Panel 1 ‐ 9:15 AM

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

Shaun C. O'Brien, Assistant Policy Director for Health and Retirement

James D. Keeney

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

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

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

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

Closing Remarks and Adjourn Hearing