75th Anniversary: Investment Company Act and the Investment Advisers Act – Washington, DC

The Securities and Exchange Commission will hold a conference commemorating the 75th Anniversary of the Investment Company Act and the Investment Advisers Act on Tuesday, September 29, 2015 from 9:15 a.m. to 4:15 p.m., in the Auditorium, Room L-002.

The event will include remarks from SEC Chair Mary Jo White and fellow commissioners, as well as a series of panel discussions featuring industry pioneers, former SEC chairmen and division directors, academics and other distinguished leaders to discuss significant ideas and themes in the history of the asset management industry.

The conference will be held at SEC headquarters at 100 F Street NE in Washington, D.C. The roundtable will be webcast on the Commission’s website at www.sec.gov and will be archived for later viewing. Seating for the public will be available.

9:15 a.m. – 9:30 a.m. Opening Remarks by Chair Mary Jo White
9:30 a.m. – 10:45 a.m. Panel 1. Asset Management Industry Pioneers
Moderator: Andrew J. Donohue, Chief of Staff
Panelists:
» John C. Bogle, Founder and Former Chairman, The Vanguard Group
» Don Phillips, Managing Director, Morningstar
» James S. Riepe, Senior Advisor and Retired Vice Chairman, T. Rowe Price Group, Inc.
10:45 a.m. – 11:00 a.m. Break
11:00 a.m. – 11:05 a.m. Panel Introduction by Commissioner Daniel M. Gallagher
11:05 a.m. – 12:15 p.m. Panel 2. The Arc of History (Former SEC Chairmen)
Moderator: Chair Mary Jo White
Panelists:
» The Hon. David S. Ruder (1987–1989)
» The Hon. Richard C. Breeden (1989 –1993)
» The Hon. Harvey L. Pitt (2001 –2003)
» The Hon. William H. Donaldson (2003 –2005)
» The Hon. Elisse B. Walter (2012 –2013)
12:15 p.m. – 1:15 p.m. Lunch Break
1:15 p.m. – 1:20 p.m. Panel Introduction by Commissioner Kara M. Stein
1:20 p.m. – 2:30 p.m. Panel 3. Diverse Perspectives on the Asset Management Industry
Moderator: David W. Grim, Director, Division of Investment Management
Panelists:
» Jameson A. Baxter, Chair of Board of Trustees of Putnam Mutual Funds
» Matthew P. Fink, Independent Director, Oppenheimer Mutual Funds and author of the Rise of Mutual Funds: An Insider’s View
» Rick A. Fleming, SEC Investor Advocate
» Tamar Frankel, Professor of Law, Boston University School of Law
» Thomas P. Lemke, Independent Director; Former Executive Vice President, General Counsel, and Head of Governance, Legg Mason Inc.
2:30 p.m. – 2:45 p.m. Break
2:45 p.m. – 2:50 p.m. Panel Introduction by Commissioner Michael S. Piwowar
2:50 p.m. – 4:00 p.m. Panel 4. The Regulators’ View (Former Division Directors)
Moderator: David W. Grim, Director, Division of Investment Management
Panelists:
» Allan S. Mostoff (1972 –1975)
» Joel H. Goldberg (1981–1983)
» Kathryn B. McGrath (1983 –1990)
» Barry Barbash (1993 –1998)
» Paul F. Roye (1998 –2005)
» Andrew J. Donohue (2006 –2010)
» Eileen Rominger (2011–2012)
» Norm Champ (2012 –2015)
4:00 p.m. – 4:15 p.m. Closing Remarks by Chief of Staff Andrew J. Donohue