National Association of Independent Broker/Dealers

PRINCETON JUNCTION, NJ – March 12, 2009 – The National Association of Independent Broker/Dealers (NAIBD), an advocate for small and independent broker/dealers for almost 30 years, has announced their Fall Symposium will take place on October 23, 2009 at the New York Stock Exchange in New York City.

One of the only industry events customized specifically for small and independent broker/dealers, the Symposium is appropriately themed “New Focus, New Solutions” to reflect both the changing landscape in the financial industry and the new direction and initiatives of the association to meet the challenges.

The Fall Symposium will be co-chaired by NAIBD board members Robert Hackel, Chief Operating Officer of R.F. Lafferty & Co., and David Sobel, Esq., Executive Vice President and Chief Compliance Officer of Abel/Noser Corp, both based in New York City’s financial district. Session highlights include “Coffee with the Regulators,” featuring representatives from federal and state regulatory agencies, a “CEO Thought-Leaders” panel discussion and a dialogue on “Technology Solutions to Navigate Growth and Compliance.” Attendees will have an opportunity to network against the backdrop of one of the most prestigious financial buildings in the world, as well as learn about the latest tools and services to protect their businesses and streamline operations from leading industry vendors in the Symposium’s exhibit hall.

“The Symposium program will help independent broker/dealers learn from the experts as well as their peers. So many of us are at a crossroads where we constantly have to stay up-to-date with new regulatory changes and business practices in what is clearly a new era of investment management,” said Sobel, Fall Symposium Co-Chair.

“This year’s Fall Symposium will be a good representation of how NAIBD has doubled its efforts to provide association members with essential tools to stay profitable as well as new ideas and solutions to gain a competitive advantage,” said Hackel, Fall Symposium Co-Chair.

NAIBD works together with Independent Broker/Dealer owners and principals, industry product and service providers, and the SEC, FINRA and state regulatory organizations to improve the securities industry as a whole. The association recognizes the needs of the industry and its members by hosting national meetings, rapidly distributing critical regulatory details and product/service offers, supplying feedback to SEC, NASD and state regulators as well as offering its Fall and Spring Symposia. For more information, please visit www.naibd.org.