National Association of Independent Broker/Dealers

Contact:

Kaitlin Friedmann
Tel: 609-297-2215
Email: kfriedmann@naibd.org

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FOR IMMEDIATE RELEASE

NAIBD’s Spring Symposium to Help Members Overcome
Challenges and Plan for Success

Congressman John Campbell to Deliver Keynote Address

PRINCETON JUNCTION, NJ – January 26, 2010 – The National Association of Independent Broker/Dealers (NAIBD), which has been improving the regulatory and business environment for small and independent broker/dealers for more than 30 years, has announced its Spring Symposium will take place April 7-8, 2010 at a private country club in Newport Beach, California.

Themed “It’s A New Decade: New Rules, New Ideas and New Information,” the Symposium will focus on business issues that face the industry, how members can meet regulatory challenges and planning for long-term success. Congressman John Campbell will deliver this year’s keynote address. As a member of the House Committee on Financial Services, Congressman Campbell oversees the entire financial services industry. This includes industry areas such as securities, insurance, housing, and banking. The committee also has an oversight function over the U.S. Department of Treasury, U.S. Federal Reserve, and the U.S. Securities and Exchange Commission.

NAIBD board members Maureen Maloney, CCO-Retail of Grubb & Ellis Securities, Inc. and Jim Williams, President of Financial Telesis, both based in California, will be co-chairing the event. “Coffee with the Regulators,” featuring the FINRA District Directors from Los Angeles and San Francisco, and an attorney from the Los Angeles Regional office of the U.S. Securities and Exchange Commission, a “CEO Perspective” panel on how to effectively build your business and a due diligence discussion on how to vet products and reassess risk of existing products are among the sessions planned for the event. Attendees will also hear about management issues posed by various social networking sites such as Linked In and Twitter, and will have the opportunity to network with industry leaders that directly influence their businesses during the event.

“At a time when the investment management industry is continuing to change, it is important to provide our members with an event that enables them to learn how these changes will affect them and provide them with the tools and resources needed to remain competitive,” said Steve Distante, Chairman of NAIBD.

“Attendees will truly benefit from the Symposium’s comprehensive content and timely discussions as well as Congressman Campbell’s speech, helping them understand future regulation and how they can prepare to weather any potential obstacles,” said Maloney, Spring Symposium Co-Chair.

NAIBD was formed in 1979 by broker/dealers who met regularly to discuss areas of common interest such as due diligence, compliance and regulation. The association has introduced new member programs and a heightened focus on independent broker/dealer advocacy, as applications continue to surge in light of the economic environment.

For more information on NAIBD, please visit www.naibd.org.

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About the National Association of Independent Broker/Dealers (NAIBD)
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, FINRA and state regulators. For more information, please visit www.naibd.org.