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

  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|Wasserman LLC

  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

  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

  11. -

    Networking Refreshment Break

  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

  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

  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

  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

  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

  4. -

    Networking Refreshment Break

  5. -

    Product Strategy, Trends and Outlook
    Moderator: 
    Susie Bauer
    , 529/UIT Manager, Senior Vice President, Baird and Chair of SIFMA 529 Working Group

  6. -

    Keynote Address

  7. -

    Networking Lunch

  8. -

    Direct-Sold Marketing Strategies

  9. -

    Keynote Address

  10. -

    Networking Refreshment Break

  11. -

    Employer Channel Trends and Opportunities

  12. -

    National Broker-Dealer’s View on Marketing and Distribution Strategies
    Moderator:
    Panelists:
    Topaz Morrison,
    AVP, Product Management, LPL Financial

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

  14. -

    Cocktail Reception

  15. -

    Late Night Lounge

Wednesday, September 25, 2019

  1. -

    Registration and Breakfast

  2. -

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

  3. -

    Legislative & Regulatory Developments

  4. -

    Investment Line-Up Trends and Outlook

  5. -

    Networking Refreshment Break

  6. -

    Independent and Regional Channel’s View on Marketing and Distribution Strategies

  7. -

    Outlook for 529s in 2019 and Beyond
    Moderator: 
    Tamara Salmon
    , Associate General Counsel, ICI

  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

  3. -

    ABLE Landscape: Meeting the Needs from All Perspectives

  4. -

    Networking Refreshment Break

  5. -

    ABLE Implementation: Product, Marketing & Distribution Perspective

  6. -

    ABLE Outlook: Challenges & Opportunities

  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