NAIBD 2010 Fall Symposium:
Providing Business and Development Tools for
Independent Broker/Dealers

AGENDA

8:00–8:55am

Breakfast with the Exhibitors

8:55–9:00am

Welcome / Housekeeping
Brian Kovack, President, Kovack Securities

9:00–10:00am

Breakfast Keynote- To Be Announced

Introduced by Steve Distante, President and CEO, Vanderbilt Securities

10:00–11:00am

Regulatory Panel Discussion

Hosted by front-line FINRA and SEC staff, this discussion will revolve around new trends in regulation including how to handle social media such as Twitter, blogs, and Facebook. As a bonus, we’ll hear about what regulators are focusing on during exams and sweeps. What aren’t you doing to protect your firm? This session will discuss where the regulators are focusing their attention and how to keep your firm out of trouble.

11:00–11:30am

Refreshment Break with the Exhibitors

11:30–12:30pm

The Art of Managing Human Resources – What Works, What Doesn’t

Building back office staff to support reps and stay in compliance is the DNA of every firm.  Aside from salary, what benefits and incentives do you offer to your back office team? In lieu of financial incentives in a poor economy, how do you keep them motivated and engaged in growing your firm? Listen in as this panel shares their secrets on how they have successfully hired and inspired their staff.

12:30–1:30pm

Buffet Lunch with the Exhibitors

1:30–2:30pm

Investment & Market Update

Shaken by recent market volatility and implications of global conflict, what are individual investors’ viewpoints towards the short and long term market? What should we expect from the current Administration and the future of the US economy? Our nationally recognized guest speaker will bring you up-to-date and tell you what to expect in this radically changing economic environment.

2:30–3:30pm

Recruiting with the B/D–RIA Hybrid Models

This panel will discuss why independent broker/dealers of all sizes are shifting their focus towards the joint B/D and RIA platforms and why it makes sense for you. Having an affiliated RIA is not enough—how do you grow it? Listen as the panel discusses how firms have found new business opportunities through recruiting wirehouse reps seeking to go independent.

3:30–4:00pm

Refreshment Break with the Exhibitors

4:00–4:45pm

Best Practices for Running your Broker/Dealer – What are Successful Firms Doing to Maintain Profitability?  

There has been a trend towards consolidation of clearing and outsourcing of technology. Additionally, there are record high numbers of client arbitrations driving up expenses.  Should you consolidate and outsource? How do you manage claims from an E&O viewpoint while recouping expenses from reps? What additional sources of revenue are you missing? Listen to this must-not-miss experienced and diverse panel discuss how to increase your bottom-line.

4:45–5:00pm

Closing Remarks

5:00–6:00pm

Cocktail Reception with the Exhibitors