Note: This message is displayed if (1) your browser is not standards-compliant or (2) you have you disabled CSS. Read our Policies for more information.
Location: Indiana Government Conference Center
Conference Registration & Morning Refreshments
8:30 am to 9:00 am
9:00 am- 9:15 am
Secretary of the State of Indiana- Connie Lawson
Indiana Securities Commissioner- Alex Glass
Examination and Industry Updates
9:15 am - 10:30 am
Examination process, expectations and useful compliance tips including ADV and ADV Part 2 updates and requirements, and industry foundations.
Senior Examiner- Ashlie Gerrish
Examiner- Jennifer Sisson
Examiner- Teaune Trice
10:30 am -10:45 am
Indiana Fraud Documentary
10:45 am -11:30 am
A viewing and brief discussion of the newly produced 2016 PBS documentary titled “$cammed: Investment Fraud Revealed” on fraud cases in Indiana.
Kelly Griese- Investor Education Coordinator
Diminished Capacity in Financial Decision Making
11:30pm – 12:30 pm
A look into changes in the human brain causing seniors to be more vulnerable to investment fraud and undue influences.
Tracy D Gunter, MD, Associate Professor Clinical Psychiatry, Adjunct Professor of Law
Dr. Gunter is Associate Professor of Clinical Psychiatry at Indiana University School of Medicine, and an adjunct professor of law at the IU Robert H. McKinney School of Law, where she teaches Neuroscience and Law and investigates issues at the interface of behavioral science, ethics and law. Her recent research is in the area of physician suicide prevention. A board certified forensic psychiatrist, Dr. Gunter is also an active clinician. She runs an outpatient clinic devoted to mental health outcomes following acquired brain injury and provides forensic mental health consultation in civil and criminal matters.
Q&A and Closing Remarks
Is it mandatory for each firm to register through the IARD?
What test(s) must I take to become an investment advisor representative?
Where can I find out about the Series 65 & 66 exams?
How long does the Securities Division reserve the right to take in reviewing a pending adviser?
Does the State have a de minimus clause?
Do I file everything online?
What is the registration fee for a firm?
Do the SEC registered investment advisers have to register their investment adviser representatives in Indiana?
Does Indiana require criminal background checks for investment adviser representatives?
What entities can credit an organization offering a senior specific designation allowing that designation to be used by financial professionals under 710 IAC 4-10-2?