Current Developments Impacting Brokers & Transfer Agents (And What They Mean to You)

Make sure you understand the potential impact of these issues to your company!

Tuesday, February 23, 2010

4:00 – 5:30 pm, eastern time [archive and transcript to follow]

Webcast Materials

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The past year has brought a number of new developments to the financial services industry that impact stock plans; get caught up during this webcast. Our panel of experts will discuss recent legislation requiring brokers and banks to report cost-basis information to shareholders and to the IRS and will cover important case law and regulatory developments that have led to increased attention around abandoned property and escheatment compliance. In addition, panelists will provide perspective on DWAC transmission costs, including a discussion on which industry participant should bear these fees and alternative methods of share delivery. This panel will bring the necessary perspectives-broker and transfer agent-to help you better understand the implications of these issues to your company.

Featured panelists:

• Joshua McGinn, Vice President & Senior Relationship Manager, BNY Mellon Shareowner Services
• Tami Bohm, Vice President & Assistant Secretary, Corporate Compliance, Radian Group
• Carl Hagberg, Chairman and Chief Executive Officer, Carl T. Hagberg & Associates
• Charles Rossi, Executive Vice President Client Services, Computershare
• Andrew Schwartz, Vice President, BNY Mellon Shareowner Services

Among many other topics, this webcast will cover:

• What firms are doing to prepare for mandatory cost-basis reporting
• Critical dates for cost-basis reporting compliance, and what deliverables you and your employees should expect from firms by these dates
• What is abandoned property and escheatment and how it relates to equity compensation
• Practical solutions to avoid or minimize abandoned property and escheatment problems, including ways to enhance awareness of the issue
• An overview of the DWAC transmission process and alternatives to it, including a lesson on the Direct Registration System (DRS)

How to access the webcast: Visit Naspp.com on the day of the program and click the link for the webcast. You need either Real Player or Windows Media to listen to the webcast. An audio archive and transcript of the webcast will be posted after the live program.

Cost: There is no charge for this program if you are a member of the NASPP for 2010. If you do not have a 2010 NASPP membership, renew or try a no-risk trial membership today to access the webcast for only the cost of membership. The cost for non-members is $595.

Registration: Advanced registration is not required for NASPP members.  Non-members can email naspp@naspp.com or call (925) 685-9271 to register for the program.

If you can’t access the live program:  If you have a scheduling conflict or have problems accessing webcasts generally (due to firewalls, etc.), an audio archive will be posted immediately following the conclusion of the live program and a text transcript will be posted within two weeks.