Print Agenda
  • 529 Essentials

  • Day 1

  • Day 2

  • ABLE

September 24, 2018

  1. -

    Registration and Breakfast

  2. -

    Opening Remarks: Paul Curley, 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

    Presenter: Andrea Feirstein, Managing Director, AKF Consulting 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
    • Review of the advertising best practices and principles

    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

    Presenter: David Smith, CFA, Managing Partner, Marquette Associates

  8. -

    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 contributions & custodial 529 accounts

    Presenter: Jamie 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

    Presenters: Tom Pappas, Vice President-Advertising Regulation, FINRA
    Derek Ashworth
    , Associate Director, FINRA

  11. -

    Networking Refreshment Break

  12. -

    Financial Aid: Lifecycle of Planning, Saving and Paying for College

    • Importance of college financial planning, saving and 529s
    • Impact of saving on federal financial aids’s FAFSA and CSS/Financial Aid PROFILE
    • Coordination of 529s with American Opportunity Tax Credit and other higher-education incentives
    • Comprehensive approach to paying for college

    PresenterJulie Shields-Rutyna, Director of College Planning, MEFA, Massachusetts Educational Financing Authority

  13. -

    Fundamentals of College Savings Plan Operations

    • Accounting and administration
    • Custody and trading
    • Participant Recordkeeping
    • Service provider oversight considerations
    • Other selected topics:
      • NAV error correction
      • As of trading and gain/loss processing
      • NSCC/Omnibus
      • Conversion considerations

    PresentersGeorge 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:
    Paul Curley, Director of College Savings Research, Strategic Insight

  16. -

    Cocktail Reception sponsored by Ascensus

    Mardi Gras in Orlando! Ascensus is treating us to a New Orleans fete that rivals the fun of Bourbon Street! Beads, masks, mystique and good ole authentic Creole cuisine lend themselves to this jazzy reception. Join the festive parade of 529’ers over to the party where you will enjoy Cajun Jambalaya, French Quarter Carvings and more Louisiana favorites. This will be one lively evening that you won’t want to miss!

September 25, 2018

  1. -

    Registration and Breakfast sponsored by American Funds

  2. -

    Chairman’s Welcome and State of the 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:
    Troy Montigney, Executive Director, Indiana Education Savings Authority
    Mary Morris, Chief Executive Officer, Virginia529|ABLEnow
    Tim Gorrell, Executive Director, Ohio’s 529/CollegeAdvantage

  4. -

    Networking Refreshment Break sponsored by John Hancock Investments

  5. -

    National Broker-Dealer’s View on Marketing and Distribution Strategies
    Moderator: 
    Chris Stack, Esq
    ., Managing Consultant, Savingforcollege.com
    Panelists:
    John Hesse,
    Executive Director, Business Development and Execution, Morgan Stanley
    William Reilly, CFP®, CIMA®, Director, Product Manager–529s & Donor-Advised Funds, UBS Financial Services, Inc.
    Richard Polimeni, Director of Education Savings Programs, Bank of America Merrill Lynch, Chair, College Savings Foundation
    Joe Ridder, Managed Investments, Edward Jones

  6. -

    Lunch sponsored by Prudential

  7. -

    Regulatory Update, Trends and Outlook
    Moderator: Ernesto Lanza,
    Senior Counsel, Clark Hill PLC
    Panelists: 
    Pamela K. Ellis,
    Associate General Counsel, Municipal Securities Rulemaking Board (MSRB)
    Tom Pappas, Vice President-Advertising Regulation, FINRA

  8. -

    Direct-Sold Marketing Strategies
    Moderator: 
    Julia White MacMillan
    , Senior Vice President, Business Development, Upromise, Inc.
    Panelists:
    Shurid Sen
    , Senior Marketing Manager, T.Rowe Price
    Michelle Cardone, Marketing Manager, Ascensus College Savings
    Eva Giles, College Savings Program Manager, NextGen 529™

  9. -

    Networking Refreshment Break sponsored by Vanguard

  10. -

    Emerging Marketing and Distribution Channels
    Moderator: 
    Winnie Sun
    , Managing Director and Founding Partner, Sun Group Wealth Partners
    Panelists:
    Alex Heuer
    , Associate Director of Business Development, Peachjar
    Jordan Lee, Founder and CEO, CollegeBacker
    Wayne Weber, CEO, GiftofCollege.com

  11. -

    The Future of Product Strategy
    Moderator: 
    Susie Bauer
    , 529/UIT Manager, Senior Vice President, Robert W. Baird & Co., and Chair of SIFMA 529 Working Group
    Panelists:
    Jennifer Tierney, Vice President, 529 Product Development Manager, Morgan Stanley
    Rob Tirrell, 529 Business Development Specialist, VOYA Investment Management
    Doug Magnolia, Managing Director, BNY Mellon/Sumday – CEO
    Ryan White, CIMA, 529 Specialist, Product Management, Columbia Threadneedle Investments

  12. -

    Closing Remarks
    Paul Curley, CFA,
    Director of College Savings Research, Strategic Insight

  13. -

    Cocktail Reception sponsored by Peachjar

    PeachJar is rolling out the Red Carpet! Don’t let the paparazzi get in your way as you join us for an evening of glamour and glitz. An array of fabulous food and cocktails await your indulgence after a full day at the conference. Don’t miss the festivities – Tinsel Town parties don’t hold a candle to this PeachJar soiree!

  14. -

    Late Night Lounge sponsored by Voya Investment Management

September 26, 2018

  1. -

    Registration and Breakfast sponsored by Invesco CollegeBound 529

  2. -

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

  3. -

    Tax Policy: Legislative & Regulatory Developments
    Moderator: 
    Rosemary Becchi,
    Strategic Advisor and Counsel, Brownstein Hyatt Farber Schreck, LLP
    Panelists:
    Tiffany Smith, Chief Tax Counsel, Minority Staff, Senate Finance Committee
    Chris McGee, General Counsel, Virginia529 & ABLEnow

  4. -

    Investment Line-Up Trends and Outlook
    Moderator: Tiffany Spudich,
    Chief Client Officer, Capital Cities, L.L.C.
    Panelists:
    Jacob Borbidge,
    Portfolio Manager, Global Investment Solutions, Invesco
    Leo Acheson, CFA, Associate Director, Manager Research, Morningstar, Inc.
    Jim Diskin, CFA, Vice President, Institutional Stable Value, Prudential Financial

  5. -

    Networking Refreshment Break

  6. -

    Independent and Regional Channel’s View on Marketing and Distribution Strategies
    Moderator: Chris Werner
    , CIMA®, 529 Distribution and Investments, OppenheimerFunds
    Panelists:

    Patrick R. Noonan CFP®, Advanced Planning, Commonwealth Financial Network®
    Graham Rigby, CFP®, Product Specialist, 529 Plans, Raymond James
    Chuck Ranney, Vice President, Mutual Funds and 529 Plans, Ameriprise Financial


  7. -

    Outlook for 529s in 2018 and Beyond
    Moderator:
     Richard Ellis
    , Senior Director for Compliance, Communications, Finance & Investments, my529
    Panelists: 
    Vivian M. Tsai
    , CIMA®, Senior Director, Head of Relationship Management, TIAA, and Vice Chair of College Savings Foundation
    Jim DiUlio, Director, Wisconsin 529 College Savings Program, and Chair of College Savings Plans Network (CSPN)
    Bernard V. Canepa, Vice President & Assistant General Counsel, SIFMA

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

  9. Lunch

September 26, 2018

  1. -

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

  2. -

    ABLE Primer
    Presenter:

    Alisa Ferguson, Associate General Counsel, Virginia529 & ABLEnow
    Chris McGee, General Counsel, Virginia529 & ABLEnow

  3. -

    ABLE Landscape:  Meeting the Needs From All Perspectives
    Moderator: 
    Andrea Feirstein
    , Managing Director, AKF Consulting Group
    Panelists:
    Rob Percival, Sr. Vice President, Strategic Products, Ascensus College Savings
    Bette Ann Mobley, Director, Maryland ABLE
    Michael Morris, Executive Director, National Disability Institute

  4. -

    Coffee Break

  5. -

    ABLE Implementation: Product, Marketing & Distribution Perspective
    Moderator: Colin Meeks,
    Certified Financial Planner™ Professional, Maryland Financial Advocates, Securities offered through LPL Financial.  Member FINRA/SIPC
    Panelists:
    Rachel Ramos,
    Assistant Vice President, Investment Services, American Funds
    Julie Shields-Rutyna, Director of College Planning, Massachusetts Education Financing Authority
    Eric Ochmanek, Office of the State Treasurer of Ohio, Deputy Chief of Staff

  6. -

    ABLE Outlook: Challenges & Opportunities
    Moderator: JJ Hanley, 
    Director, IL ABLE
    Panelists: 
    Sara Weir, President & C.E.O., National Down Syndrome Society and Chair, ABLE Alliance for Financial Empowerment (AAFE)
    Carrie Fisher Stone, Deputy Executive Director, CalABLE
    Stuart Spielman, Esq., Senior Vice President, Advocacy, Autism Speaks

Special Sessions

“529 Essentials Seminar” (pre-conference session – September 24)
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 26)
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
617-913-0571
austin.ulep@strategic-i.com
General Information:
Carol Popkins
203-461-0985
carol.popkins@strategic-i.com