Barbara Mallon presented the topic of “Investment Adviser Updates” for both the 2006 and 2005 Chicago Bar Association Securities Law Institute. (March 2006, 2005)

In May 2004, Ms. Mallon spoke to members of the Illinois State Bar Association about investment adviser regulation as it relates to Illinois investment advisers. (May 2004).

Barbara Mallon co-chaired a symposium, “Investment Adviser Boot Camp,” for National Regulatory Services in Chicago, Illinois. (August 2001).

Barbara Mallon presented “Who’s Your Client?” to the IAFP in Oak Brook, Illinois. (January 2000).
Barbara Mallon co-chaired a seminar on “Performance Advertising for Investment Advisers” with National Regulatory Services in Chicago, Illinois (August 1999).

Barbara Mallon presented “Suitability Reviews” at a Chicago broker-dealer compliance conference for registered representatives and employees of the broker-dealer (June 1999).

Ms. Mallon was a keynote speaker at The Chicago Bar Association’s Securities Law Institute; she spoke on the topic of “Investment Adviser and Broker-Dealer Developments.”(March 1999).

Barbara Mallon participated in the National Regulatory Services’ Compliance Conference in Tucson, Arizona by presenting a talk on the topic of “Avoiding Retail Brokerage Litigation”. ( September 1997).

Throughout 1997, Ms. Mallon addressed investment managers at Schwab Institutional Conferences held in the Midwest on the subject of investment adviser registration after the enactment of NSMIA.

Barbara Mallon presented “Conducting Internal Investment Adviser Audits” at the National Society of Compliance Professionals Regional Meeting (June 1997).

Barbara Mallon presented “Is it Education or Advice?” at the Chicago IAFP concerning information given out by 401(K) administrators to their clients (February 1997).