Print Agenda
  • 529 Essentials

  • Day 1

  • Day 2

  • ABLE

529 Essentials

  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

    PresenterMark Chapleau, Esq., Member, Weston Patrick, PA

  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

    Presenter: Tom Pappas, Vice President-Advertising Regulation, 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

    • Portfolio Valuation, accounting and administration
    • Custody and portfolio trading
    • Participant recordkeeping, NSCC Level 4 and “529 Brokerage” (Omnibus)
    • Overview of an effective service provider oversight model
    • Selected emerging issues and proposed rulemaking by the SEC in the registered funds

    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

Day 1

  1. -

    Registration and Breakfast

  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

  4. -

    Networking Refreshment Break

  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®, Director, IRA and 529 Plan Associate Product Manager, UBS Financial Services, Inc.
    Richard Polimeni, Director of Education Savings Programs, Bank of America Merrill Lynch, Chair, College Savings Foundation

  6. -

    Keynote Address

  7. -

    Lunch

  8. -

    Legislative and Regulatory Update
    Moderator:
    Panelists: 
    Pamela K. Ellis,
    Associate General Counsel, Municipal Securities Rulemaking Board (MSRB)
    Ernesto Lanza, Senior Counsel, Clark Hill PLC

  9. -

    Direct-Sold Marketing Strategies

  10. -

    Networking Refreshment Break

  11. -

    Emerging Marketing and Distribution Channels
    Moderator:
    Panelists:
    Alex Heuer
    , Associate Director of Business Development, Peachjar
    Jordan Lee, Founder and CEO, CollegeBacker
    Wayne Weber, CEO, GiftofCollege.com

  12. -

    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

  13. -

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

  14. -

    Cocktail Reception

  15. -

    Late Night Lounge

Day 2

  1. -

    Registration and Breakfast

  2. -

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

  3. -

    Tax Policy: Legislative & Regulatory Developments

  4. -

    Investment Line-Up Trends and Outlook
    Moderator:
    Panelists:
    Jacob Borbidge,
    Portfolio Manager, Global Investment Solutions, Invesco
    Leo Acheson, CFA, Associate Director, Manager Research, Morningstar, Inc.

  5. -

    Networking Refreshment Break

  6. -

    Independent and Regional Channel’s View on Marketing and Distribution Strategies
    Moderator:
    Panelists:
    Mark Edblom,
    Associate Product Manager – Mutual Funds and ETFs, RBC Wealth Management
    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

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

  9. -

    Lunch

ABLE

  1. -

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

  2. -

    ABLE Afternoon Summit

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