Upcoming Events

NAIBD 2010 Fall Symposium
Tuesday, October 19
New York Stock Exchange
New York, NY

NAIBD's 2010 Fall Symposium will once again be held at the New York Stock Exchange.

Registration is now open! Click here for more information and to get registered!

View Past Webinars

NAIBD Presents "An Hour with the FINRA Board of Governors Candidates"

Regulatory Updates - What you Need to Know!

Guilty Until Proven Innocent - What You Need to Know About Arbitration

Regulatory Update

Hiring and Retaining Top Talent

Compliance Issues Posed by LinkedIn, Twitter, Blogging &
Social Networking

Couldn't attend? NAIBD members can see and hear a complete recording of the webinar by logging into the Members Only section.

More Events >>

Events

Next Event:

NAIBD 2010 Fall Symposium
Tuesday, October 19
New York Stock Exchange
New York, NY

Registration is now open! Click here for more information and to get registered!

Are you an industry vendor looking to exhibit?

Register to exhibit today!

Want to see what events are taking place across the industry? Click here for our Industry Events Calendar.

2010 Event Schedule

Event Recaps

Calendar of events is subject to change.

2009 Meeting Schedule

JANUARY

1/29/09

12:00pm EST
The Issues and Implications of a 3PM / Broker Dealer Relationship
Featuring:Lisa Roth, NAIBD Chairperson
Micah A. Taylor, Kinetic Partners
Donna DiMaria, 3PM President
Stacy Havener, 3PM Secretary/Events Co-Chair

NAIBD members may register at no cost.

1/13/09
2:00 pm EST
Small Firm Representatives to the FINRA Board Speak Out
Featuring: Lisa Roth, NAIBD Chairperson
Don Steel, Planned Investment Company, Inc.
Mari Buechner, Coordinated Capital Securities, Inc
Duncan Williams, Duncan-Williams, Inc.

NAIBD members may register at no cost, and guests may register for $25.

MARCH

03/18/09
Spring Business Development Symposium
Providing Business Development Tools for Independents Broker/Dealers
Santa Monica, CA

MAY

05/12/09
Compliance Issues Posed by LinkedIn, Twitter, Blogging & Social Networking
MarketCounsel, LLC.

Paul Lieberman, JD and Daniel Bernstein, ESQ.

Blogs, Linkedin, Twitter, and other social networking websites are exciting marketing mediums. But before you dive in, you must know the compliance rules. Listen as we explore the potential compliance issues posed by these new social networking media.

Members Only Webinar. NAIBD members may register at no cost.

JUNE

06/09/09
Hiring and Retaining Top Talent

Rosanne Roberts, Roberts & Associates, LLC.

Members Only Webinar. NAIBD members may register at no cost.

JULY

07/14/09
Regulatory Update

Lisa Roth, NAIBD Past Chair, Keystone Capital Corp.

Members Only Webinar. NAIBD members may register at no cost.

SEPTEMBER

9/9/09

Guilty Until Proven Innocent - What You Need to Know About Arbitration

The world has changed, or has it? Some things never change: death, taxes and customer complaints!

Panelist will share stories on selling away and straight loss situations and evaluate what was done correctly and what was done incorrectly. These arbitration experts will provide tips on preventative measures and what to do when you receive a complaint.

Case Studies

Panelists include:

Robert Girard, Freeman, Freeman, & Smiley Attorneys at Law

Houston Goddard, Girard Securities

Lisa Roth, Keystone Capital Corp.

Dennis Stubblefield, Stubblefield Solutions

Chad Weaver, Edgerton & Weaver

Members Only Webinar. NAIBD members may register at no cost.

OCTOBER

10/16/09

San Francisco, CA

NAIBD Member Breakfast Meeting

NAIBD and Burr Pilger Mayer (BPM) invited NAIBD members to discuss some of the toughest challenges Broker/Dealers face dealing with compliance regulations from FINRA and the SEC. 

Expert panelists, who represent the Broker/Dealer landscape including securities, advisory and investments industries, policies and procedures, supervision, and various other topics, provided thoughtful ideas, possible solutions and intelligent perspectives on navigating the market challenges ahead. Audience questions and participation is encouraged for a "real-live" discussion based on your own unique compliance challenges.

Members Breakfast Meeting. NAIBD members may register at no cost.

10/23/09

New York, NY

Fall Business Development Symposium

11 Wall Street
New York, NY 10005
212.656.3000

The National Association of Independent Broker/Dealers welcomed CEOs, CCOs, CTOs, CIOs and other securities industry professionals at the 2009 Fall Symposium at the New York Stock Exchange.