Print Agenda
  • Essentials Seminar

  • Day 1

  • Day 2

  • ABLE

Monday September 23, 2019

  1. -

    Registration and Breakfast

  2. -

    Opening Remarks
    Speaker
    : Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  3. -

    529 Primer & Landscape
    – Background and beginning of 529 plans
    – Types of plans, features and requirements
    – Historical milestones leading up to where we are today
    Presenter: Chris Stack, Esq., Managing Consultant, Savingforcollege.com

  4. -

    Federal Regulatory Framework
    – Legislative benefits and features
    – The role of municipal issuer and program manager
    – Tax regulation of the issuer/program by the IRS
    – Securities regulation of the issuer, program manager, distributor, investment manager by SEC, MSRB
    – State Law Requirements
    Presenter: Mark Chapleau, Esq., Member, Chapleau Law Group

  5. -

    Networking Refreshment Break

  6. -

    Plan Governance & Administration Best Practices
    – The fiduciary duties of 529 entities
    – Guidance on good governance processes
    – The underpinnings for disclosure standards
    Presenter: Andrea Feirstein, Managing Director, AKF Consulting Group

  7. -

    Structuring & Evaluating the Investment Line-Up
    – Structure in philosophy and in practice
    – Defining key terms and differentiating factors
    – Investment types and management style trends
    – Impact of fees, new asset classes and trends in selection
    PresenterKay Ceserani, Managing Principal, Meketa Investment Group

  8. -

    Networking Lunch

  9. -

    Tax Benefits & Planning
    – Tax benefits, considerations and guidance under IRC Section 529
    – Fundamentals of contributions, asset growth and distributions
    – Qualified expenses, and exemptions to the 10% penalty tax
    – Gift and estate tax provisions, grandparent contributors & custodial 529 accounts
    PresenterJamie Canup, Partner/Principal, Hirschler Fleischer

  10. -

    Advertising Regulation Overview
    – Introduction to FINRA’s role in advertising 529 plans
    – Advertising fundamentals, process and updates
    – Upcoming topics for review, and best practices for industry participants
    – Questions and comments
    – Time permitting: examples and case studies
    Presenter: Tom Pappas, Vice President-Advertising Regulation, FINRA

  11. -

    Networking Refreshment Break
    Sponsored by Columbia Threadneedle Investments

  12. -

    Financial Aid: Lifecycle of Planning, Saving & Paying for College
    – Importance of college financial planning, saving and 529s
    – Impact of saving on federal financial aid’s FAFSA and CSS/Financial Aid PROFILE
    – Coordination of 529s with American Opportunity Tax Credit and other higher-education initiatives
    – Comprehensive approach to paying for college
    PresenterStacey MacPhetres, Senior Director, College Finance, Bright Horizons College Coach

  13. -

    Fundamentals of College Savings Plan Operations
    – Accounting and administration
    – Custody, trading and participant recordkeeping
    – Service provider oversight considerations
    Other selected topics:
     – NAV error correction
     – As of trading and gain/loss processing
     – NSCC/Omnibus
     – Conversion considerations
    Presenters:
    George Betzios, Founding Partner, Spectra Professional Services
    Kaprel Ozsolak, Founding Partner, Spectra Professional Services

  14. -

    Comparing College Savings Vehicles: How do 529s Stack Up?
    – How do 529s alternatives stack up by Stack?
    – Categories of college savings/investment vehicles
    – Strength and weaknesses of different savings vehicles
    Presenter
    Chris Stack, Esq., Managing Consultant, Savingforcollege.com

  15. Closing Remarks
    Speaker
    : Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  16. -

    Cocktail Reception

Tuesday September 24, 2019

  1. -

    Registration and Breakfast
    Sponsored by Capital Group / American Funds

  2. -

    Chairman’s Welcome and Opening
    Remarks: State of the College Savings Industry
    Speaker: Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  3. -

    State’s Perspective on Industry Trends and Building Momentum
    Moderator: Andrea Feirstein,
    Managing Director, AKF Consulting Group
    Panelists:
    Fernando Diaz, Chief Financial Product Officer and Executive Director of College Savings, Illinois State Treasurer Michael W. Frerichs
    Emma Willis, Executive Director 529 Programs and Financial Literacy, Arkansas Treasurer of State
    Rachel Biar, Assistant State Treasurer, Nebraska State Treasurer’s Office

  4. -

    Networking Refreshment Break
    Sponsored by John Hancock Investments

  5. -

    Product Strategy, Trends and Outlook
    Moderator: 
    Susie Bauer
    , 529/UIT Manager, Senior Vice President, Baird and Chair of SIFMA 529 Working Group
    Panelists:
    Jennifer Tierney, Vice President, 529 Product Manager, Morgan Stanley
    Adam Faccone, CFA, Director, Stable Value Product Management, Prudential Financial
    Tarun Garg, CFA, Director, Head of College Savings, BlackRock

  6. -

    Keynote Address Sponsored by Ascensus
    529 Plans:
    The Progress, the Present, and the Path
    Presenter: Peg Creonte,
    SVP of Business Development, Government Savings, Ascensus

  7. -

    Networking Lunch
    Sponsored by Prudential

  8. -

    Direct-Sold Marketing Strategies
    – Emerging digital technology, tools and strategies for current and target client engagement
    – Insight into family’s perspective on college financial planning
    – Innovative trends in creating partnerships, gifting strategies and gross roots efforts
    – Overview and Update on the National Awareness Campaign
    Moderator: Troy A. Montigney, Vice President of Relationship Management, Ascensus
    Panelists:
    Alex Heuer
    , Associate Director of Business Development & Strategic Partnerships, Peachjar
    Ben Gibbons, Director of Marketing, Ohio Tuition Trust Authority
    Jordan Lee, Founder & CEO, CollegeBacker
    Robert Farrington, Founder, The College Investor

  9. -

    Keynote Address
    Colin Brainard,
    Former Chief of Staff, U.S. Representative Steve Watkins

  10. -

    Networking Refreshment Break
    Sponsored by Intuition College Savings Solutions

  11. -

    Employer Channel Trends and Opportunities
    Moderator: 
    Paul Curley, CFA, Director of College Savings Research, Strategic Insight
    Panelists:
    Deanna Allison
    , Financial Benefits Manager, Alliance Data
    Deborah Goodkin, Managing Director – Savings Plans, First National Bank of Omaha
    Jon Pagnozzi, Sales Director, CollegeInvest
    Wayne Weber, CEO, GiftofCollege.com

     

  12. -

    National Broker-Dealer’s View on Marketing and Distribution Strategies
    Moderator: 
    Chris Stack, Esq.
    , Managing Consultant, Savingforcollege.com
    Panelists:
    Topaz Morrison,
    AVP, Product Management, LPL Financial
    Richard Polimeni, Director of Education Savings Programs, Bank of America, Chair, College Savings Foundation
    Phoebe Del Castillo, Sr. Product Leader – Managed Investments, Edward Jones
    Marc Dextraze, Executive Director, Head of Product Development, Morgan Stanley

  13. Closing Remarks
    Speaker: Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  14. -

    Cocktail Reception
    A band, some sand and drinks in hand
    …enjoy the happy sounds of Jimmy Buffet on the lawn while soaking up the gorgeous ocean view at sunset! Taste your way through delicious island fare and don’t forget to check in at the VW Bus Bar for a fantastic Amelia Island peach margarita! This party will be sure to keep you smiling through the rest of your stay.
    Sponsored by Peachjar

  15. -

    Late Night Lounge

Wednesday, September 25, 2019

  1. -

    Registration and Breakfast
    Sponsored by Invesco

  2. -

    Opening Remarks and Recap of Day One
    Speaker
    : Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  3. -

    Legislative & Regulatory Developments
    Moderator
    : Mark Chapleau, Esq., Member, Chapleau Law Group
    Panelists
    :
    Pamela K. Ellis, Associate General Counsel, Municipal Securities Rulemaking Board (MSRB)
    Tom Pappas, Vice President-Advertising Regulation, FINRA
    Jamie Canup, Partner/Principal, Hirschler Fleischer

  4. -

    Investment Line-Up Trends and Outlook
    Moderator: 
    David Smith
    , CFA, Managing Partner, Marquette Associates
    Panelists:
    Madeline Hume, Analyst, Manager Research, Morningstar
    Jeff Bennett, Senior Portfolio Manager, Invesco

  5. -

    Networking Refreshment Break
    Sponsored by Scholar’s Edge

  6. -

    Business Building with 529s in the Adviser-Sold Channel
    Moderator: Peter M. Greenberger
    , CFA, CFP, Director, Mutual Fund & 529 Plan Product Management, Raymond James
    Panelists: 
    Chuck Ranney
    , Vice President, Mutual Funds and 529 Plans, Ameriprise Financial
    Chris Werner, Vice President – 529 Distribution & Investments, Scholar’s Edge
    Mark Edblom, Associate Product Manager – Mutual Funds and ETFs, RBC Wealth Management
    Brock Jolly, Founder and Financial Advisor, The College Funding Coach

  7. -

    Outlook for 529s in 2019 and Beyond
    Moderator: 
    Tamara Salmon
    , Associate General Counsel, ICI
    Panelists:
    Richard Ellis, Senior Director for Compliance, Finance & Investments, my529
    Jim DiUlio, Director, Wisconsin 529 College Savings Program, Chair, College Savings Plans Network (CSPN)
    Vivian M. Tsai, CIMA®, Senior Director, Head of Relationship Management, TIAA, Chair, College Saving Foundation

  8. Closing Remarks
    Speaker: Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  9. -

    Networking Lunch

Wednesday, September 25, 2019

  1. -

    Lunch & Learn: Chairman’s Welcome and State of the Industry
    Speaker: Paul Curley, CFA, Director of College Savings Research, Strategic Insight

  2. -

    ABLE Essentials Product Training Seminar
    Presenter: 
    Mark A. Chapleau, Esq., Member, Chapleau Law Group

  3. -

    ABLE Landscape: Meeting the Needs from All Perspectives
    Moderator: 
    Andrea Feirstein, Managing Director, AKF Consulting Group
    Panelists:
    Dante Allen, Executive Director, California ABLE Act Board
    Michael Morris, Executive Director, ABLE National Resource Center
    Jim Balsan, Managing Director, BNY Mellon/Sumday

  4. -

    Networking Refreshment Break

  5. -

    ABLE Implementation: Product, Marketing & Distribution Perspective
    Moderator: 
    Nathan Groff
    , CEO, Intuition ABLE Solutions
    Panelists:
    Amy Corbin, Executive Director, Indiana ABLE Authority
    Jonathan Sparling, Associate Director of College Planning and Education, Massachusetts Educational Financing Authority
    Scott De Varona, Division Director, MiABLE, Michigan Department of Treasury
    LaKesha Page, Director, TNStars, ABLE TN, Tennessee Department of Treasury

  6. -

    ABLE Outlook: Challenges & Opportunities
    Moderator: 
    Sarah Pennington
    , Brand Manager, ABLEnow
    Panelists:
    Stuart Spielman, Esq., Senior Vice President, Advocacy, Autism Speaks
    Vince Randazzo, Policy Advisor, National Down Syndrome Society (NDSS)
    Rob Percival, Senior Vice President, Ascensus Government Savings


  7. Closing Remarks
    Speaker: Paul Curley, CFA, Director of College Savings Research, Strategic Insight

Special Sessions

“529 Essentials Seminar” (pre-conference session – September 23)
Whether you are new to the college financial planning market or a seasoned pro, this insightful full-day seminar will drill down into the mechanics of 529 plans and provide you with a clear understanding of the ever-evolving tax, regulatory, governance, financial aid, investment and operational implications driving the market today.

ABLE Deep-Dive Afternoon Summit (post-conference session – September 25)
With the launch of ABLE accounts in 2016, we’re dedicating an entire afternoon to product training, news and trends on how firms are involved in the industry, and how firms can successfully participate in the industry from a consumer, product, marketing, distribution and outlook perspective.

Sponsorship Information:
Austin Ulep
Director, Key Accounts
617-913-0571
austin.ulep@strategic-i.com

General Information:
Carol Popkins
Senior Vice President, Global Event Operations
203-461-0985
carol.popkins@strategic-i.com