STA Annual Conference Highlights 2011

President’s Remarks: Charlie Rossi, STA President, will discuss recent and ongoing STA initiatives, with emphasis on the continuing significant progress the STA, in conjunction with the Shareholder Communications Coalition, has made in focusing the attention of regulators and Congressional staff on the need for a complete analysis and overhaul of the current annual meeting and proxy distribution system. He will address STA discussions with DTC and the SEC concerning FAST admittance and discussions about what should be in the Rules for transfer agents. He will also discuss the work the STA has been doing to educate members on compliance with the cost basis regulations. The STA continues to be an active advocate for its members with regulators and government officials. This session will bring you up to date.

Keynote Address: The STA is very excited to present our Keynote Speaker, James W. Hughes, Dean of the Edward J. Bloustein School of Planning and Public Policy, at Rutgers, the State University of New Jersey. Mr. Hughes is a renowned economist and will give us his thoughts on the state of the U. S. economy and its future direction. He is extremely knowledgeable on this topic as well as being an accomplished speaker. You will not want to miss this presentation.

Proxy and Annual Meeting Issues: The STA continues to aggressively work to bring about long overdue change to the status quo in regard to the distribution of annual meeting materials, transparency, the validation of votes and other processes around annual meetings and proxy mechanics. These efforts are beginning to focus needed attention from regulators in this area. Hear from regulators, and from forward thinking corporate executives about the changes that are under consideration.

NYSE Euronext Update: Judy McLevey, Vice President of Corporate Actions & Market Watch at NYSE Euronext, will discuss the evolution of the NYSE into a global company with a diverse set of products and business lines. The NYSE continues to transform and redefine itself as evidenced by its announced business combination with the Deutsche Boerse AG. Judy will review this transaction as well as other new developments that have occurred, or are underway at the NYSE (market structure reform, new product innovation, proxy/governance changes, etc.).

SEC Update: A Securities and Exchange Commission spokesperson will give a regulatory update on the subjects of proxy reform, transfer agent regulation and other matters of concern to transfer agents. We have allotted more time to this session than in the past, based on attendee feedback. You will not want to miss this important presentation.

FINRA Presentation: Andrew Kagan, Vice President of Participant Services for FINRA, will provide us with a FINRA update on the OTC equity marketplace.

Legal Developments Panel: Back by popular request, this panel will feature three talented attorneys from our membership who will address legal issues of concern. The STA is proud to present Mark Harmon, (Hodgson Russ LLP), and Andrea Manning, (Computershare), who will discuss the most concerning legal issues of the day. This session has also been expanded in time, based on attendee feedback.

FATCA Presentation: Jennifer Sponzilli, a principal with KPMG, will give us a simplified overview of this very complicated new government regulation that will impact transfer agents in the near future. This session is a must for any agent with foreign accounts on their file.

DTC Update: The STA is proud to present James Femia, a Managing Director of DTCC, who will provide this year’s DTC presentation. He will provide updates on current and future DTC initiatives of interest. It is important to keep up to date on initiatives at DTC, as they are central to the processing of securities transactions. This session is a must to keep you informed and in the know.

Using Social Media to Grow Your Business: The STA is very excited to present Tom Healy who will address this topic. Tom, Founder and President of Reach Your Vision, has been identified as "America's Most Dynamic Young Speaker", and is an expert on the business use of social media. At the young age of 24, Tom had his first book published, titled "The Course They Forgot to Offer", which led to him starting his speaking and consulting business. You cannot help but notice the explosive growth of social medial today as a tool to expand business and reach customers. In this entertaining and insightful presentation, Tom will tell us about the opportunities that STA members can realize with the use of this tool. We have searched long and hard to find a speaker of this caliber and are sure that you will not want to miss this upbeat and enlightening presentation!

Cost Basis Reporting: STA members have been working on cost basis implementation for some months now, but is your organization doing it correctly? It is time to stop pretending this new regulation will go away! During this session, guest speaker Stevie D. Conlon, Senior Director & Tax Counsel, Wolters Kluwer Financial Services, will cover critical cost basis reporting areas prone to confusion & mistakes, such as issues that different securities classes pose with gifting & inheritance shares and related transfer reporting. She will also address the challenges of cost basis and DRP’s. Don’t be unprepared and consequently subject to fines and penalties! This is your opportunity to become informed.

Open Forums: The STA will continue our tradition of holding Open Forums (one general and one for smaller agents), where attendees can discuss the issues of the day with one another. Why reinvent the wheel? Share your concerns and hear what others are doing to solve similar problems. The agenda is created by you, the attendees, and covers a wide range of topics. These sessions have been consistently popular and have engendered some provocative discussion in the past. Cynthia Jones, Executive Director of the STA, and Salli Marinov, President and CEO of First American Stock Transfer will host the two sessions, respectively.

Committee Updates: This year, we will feature an update from the very active STA Operations Committee, given by Katie Sevcik, Senior Vice President, Wells Fargo Shareowner Services, and Mary Rose Cascaes, Executive Vice President and COO, Registrar & Transfer Company. This is your chance to hear first hand from Committee Co-Chairs about their successes and ongoing initiatives, in a way that makes it more concrete than just reading the Committee notes.

Special Training Event!!! This year, our Special Training Event will be held on Wednesday afternoon and will provide even more information on how to use Social Media to increase our business. In an earlier session, you will have heard about the possibilities that this tool can afford you. In our Training Event, Tom Healy will tell you EXACTLY how to do it! Back by popular demand, this event will be free to all Conference attendees.

Other Special Events: Of course, the Annual Golf Tournament is a continuing favorite at this Conference, as are the Gala Banquet on Thursday night, the Luncheon with the vendors who support us, and the First Time Attendee and New Member Breakfast. Mark your calendars now and make plans to join us at the Ritz-Carlton, Palm Beach, Florida, October 18-21, 2011!