Financial Regulators to Hold Investor Forum in Connection with National Financial Planning Month

03 October 2019

South Burlington, VT – The Financial Industry Regulatory Authority (FINRA) and the Department of Financial Regulation (DFR) announce an Investor Forum that is free and open to the public will be held on October 10, 2019 from 5:30 pm to 8:00 pm at the Delta Hotels by Marriott in South Burlington.

The Investor Forum coincides with National Financial Planning Month which encourages individuals to review their financial situation and being planning for the year ahead.

FINRA CEO Robert Cook and Commissioner Michael Pieciak will be participating in the Investor Forum and answering audience questions.

“I encourage Vermonters to attend the Investor Forum as an important first step in developing a financial plan that will secure their future” said Commissioner Pieciak. “Data suggests we have some room to improve as a state with 22% of Vermonter having spent more than their income during the last year and 49% lacking a rainy-day fund. The Investor Forum will provide an overview of basic investment principles and unbiased tools to help folks get back on track financially.”

The Investor Forum will begin at 5:30 pm with a free dinner with the program starting at 6:00 pm. Those interested in attending may register at or by calling 202-728-8137.

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Read the press release

View the event flyer.

Contact Information

Department of Financial Regulation
Consumer Services 
89 Main Street, Montpelier, VT 05620 - 3101

833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

Public Information
For public records, media inquiries, and press releases visit our Public Information web page

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