2008 SPRING

Technology & Compliance Symposium

March 11, 2008 8AM-5PM

Marriott Los Angeles Downtown

   333 South Figueroa Street

     Los Angeles, CA 90071

      (213) 617-1133

The National Association of Independent Broker/Dealers welcomes your CEOs, CCOs, CTOs, CIOs, and other securities industry professionals to attend the Spring Technology & Compliance Symposium!

Yes, as an advocacy organization we have gone out of our way to make this great event for Independent Broker/Dealers, so you don’t want to miss out! The NAIBD Tech Symposium includes buffet breakfast and lunch inside the hall, 30 top securities industry vendors, a casual "Coffee w/the Regulators", Discussion Group panelists with over 100 combined years of industry experience, and much more!

GUEST KEYNOTE SPEAKER:

Tim Sanders

Former Chief Solutions Officer of  Yahoo

“How Technology is Changing our Industry”

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ATTENDEES

RSVP TODAY

 For a low cost of $25.00, why not attend?  NAIBD members are FREE!

Please register here for the event

Attendees: $25.00 (member free for up to 2 attendess)

Non-showing vendors: $50.00

 You can also mail your form and payment to:

 Cick here for the form

National Association of Independent Broker/Dealers
16835 West Bernardo Drive, Suite 120
San Diego, CA 92127
Tel: (888) 646-2423
Fax: (866) 250-1914
Email: naibd@naibd.com

*Reserve Your Room Early:

Please call The Marriott Los Angeles Downtown at

1-800-228-9290 and refer to NAIBD for our special rate of $189!  Don't delay, rate ends February 9th, 2008!

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 EXHIBITORS

PRICING FOR SPRING      

$3,000/IAM - $4,000/Non-IAM*

 PRICING FOR FALL October 2, 2008

 NASDAQ Marketsite New York, NY

 Early Registration before April 15              

                               $3,500/IAM - $4,500/Non-IAM*

Standard Registration until July 1             

                              $4,000/IAM - $5,000/Non-IAM*

Late Registration September 1                    

                              $4,500/IAM - $5,500/Non-IAM*

PRICING FOR BOTH

 $7,000/IAM - $8,000/Non-IAM*

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AGENDA

8:15 AM Registration
8:15-9:15 AM Exhibit Hall Opens/Continental Breakfast
9:15-10:30 AM Session 1 - Coffee with the Regulators
10:30-11:00 AM Exhibit Hall/Break
11:00-12:15 PM Session 2 - Broker Dealer Technology Panel
12:15-1:00 PM Lunch
12:30-1:00 PM Keynote during lunch
1:00-1:30 PM Exhibit Hall/Break
1:30-2:45 PM Session 3 - CEO Discussion Panel
2:45-3:00 PM Exhibit Hall/Break
3:00-4:00 PM Session 4 - Recruiting Panel
4:00 PM Raffle and Reception

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 Full Event Description

"Coffee w/the Regulators"
NAIBD brings industry professionals both local & national regulators together for an informal, positive discussion of the latest regulatory initiatives. This unparalleled forum, both comfortable and productive, offers the two-way communication needed for critical improvements to the relationship between those who propose regulations and those who implement them. Panel:

Moderator: Brian Kovack, Esq.-President Kovack Securities

Cynthia Kittle - Regional Attourney,  FINRA

Martin Murphy - Assistant Regional Director, SEC

Pending – CA Department of Corporations

Broker Dealer Technology Panel

Come hear an exciting session on how Broker/Dealers are using technology to solve issues common to us all.  Questions will be asked regarding current topics, trends, regulations and specific technologies used in all areas of the B/D – Marketing, Compliance, Advisor Desktops, Administration, Operations etc., Rule 2821 projects, build or buy decision process, disaster planning, budgets, platforms and staffing may also be discussed.  Come ask your question about a pet peeve of yours and how they may be dealing with the issue.  Panel:

Moderator: Rob Hackel– Managing Director, R.F. Lafferty & Co.

Gina Duryea – CEO, Pension Planners

Stephen Chipman - President & CEO Foothill Securities

LaRae Bakerink – CEO, WBB Securities

CEO Discussion Group
What a line up we have!  Come learn from proven industry leaders.  You will hear their deepest concerns, what they expect for their firms and the industry, about the mistakes they made and what was learned and a host of other current topics including; dealing with outside business activities, recruiting activities and dealing with regulators.  Plenty of good solid advice from leaders that can help you and your firm succeed.

Moderator: Tim Morton – Director Development, WBB Securities

Ed WedBush – CEO Wedbush Morgan Securities

Don Bizub – CEO Western International Securities

Mike Melby – CEO Cue Financial Group

Randy Cicatti –CEO Primevest (ING)

 Recruiting Panel

Want to learn more about the world of rep and advisor recruiting?  Talk about a power panel!  You won’t want to miss this session if your broker dealer is actively recruiting today. 

Moderator: Maureen Maloney – CCO, Retail Grubb & Ellis Securities, Inc.

Craig Katz – National Sales Director, Discovery Database

George Keith – Executive VP and National Sales Director, National Financial

Ryan Shanks – Founder and President, Finetooth Consulting

Jodie Papike – Vice President, Cross Search  

Hosted Reception & Grand Prize Drawing

Don't miss the grand prize drawingl at 4:00 PM because you must be present to win.  There will be tons of great prizes!   Directly after, we will have our hosted reception with cocktails, hors d’oeuvres and live entertainment.

 Contact Information:

Executive Director - Geraldine Donesa
16835 West Bernardo Drive, Suite 120
San Diego, CA 92127
Tel: (888) 646-2423

Fax: (866) 250-1914

 gdonesa@naibd.com