Upcoming Events
December Webinar TBA
View Past Webinars
Stretching Your Compliance Budget: Tips and Tricks
Broker/Dealer E&O Liability Coverage- Hosted by: Conrad M. Deneault, The Daniel and Henry Co.
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 >>
Fall Symposium
Sponsors & Exhibitors
Sponsored By:
Exhibitors:
Supporting Media:
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Agenda
Presentation and handout from this event can be found in the Members Only section
NAIBD 2011 Fall Symposium:
Providing Business and Development Tools for
Independent Broker/Dealers
AGENDA |
8:00–9:00am |
Breakfast with the Exhibitors |
9:00–9:15am |
Welcome / Housekeeping
David Sobel, Abel Noser |
9:15–10:00am |
Breakfast Keynote – Rick Ketchum, FINRA
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10:00–11:00am |
Balancing the Job of CEO and CCO
The CEO/CCO faces a unique set of challenges, including conflicts resolution, supervisory controls and heightened liability. Distinguished panelists will offer practical guidance to assist the CEO/CCO in overcoming complex obstacles.
Panelists:
Carolyn May, CSCP, Co-CCO and Advisory Director, Simmons First Investment Group
Lisa Roth, Keystone Capital Corporation
Brian Rubin, Sutherland
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11:00–11:30am |
Refreshment Break with the Exhibitors |
11:30–12:30pm |
Do I Really Have to Do This?!
Seasoned regulatory practitioners will discuss the practical effects upon the independent firm as the model undergoes additional scrutiny. The discussion will include social media, privacy, technology, regulatory initiatives and suggestions on handling the ever-growing responsibilities.
Panelists:
Paul M. Tyrrell, Esq.,
Counsel,
Bingham McCutchen LLP
Gary Klein, Esq.,
Executive Vice President, Deputy General Counsel,
LPL Financial
John I. Fitzgerald, Esq.,
Managing Director - Legal/Compliance,
Leerink Swann LLC |
12:30–1:30pm |
Buffet Lunch with the Exhibitors |
1:30–2:30pm |
Interactive Q&A with Susan Axelrod
Susan Axelrod, FINRA
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2:30–3:15pm |
Afternoon Keynote - The Failed Partnership between Wall Street's Regulated and Regulators
Bill Singer, BrokeandBroker.com
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3:15–3:45pm |
Refreshment Break with the Exhibitors |
3:45–4:45pm |
Non-Competition Agreements, the "Protocol", and Key Updates for Broker-Dealers on Client Solicitation
Our expert speaker will discuss:
• Recruiting Practices
• Avoiding Mistakes in the Hiring and On-Boarding Process
• Claims of “Raiding” when Hiring Registered Representatives
• Client Information – and Confidentiality
• The Solicitation of Clients
• The Protocol for Broker Recruiting (or the “Protocol”)
• FINRA – and Non-Compete and Non-Solicitation Agreements
Thomas Metzger, Shareholder, Littler Mendelson, P.C.
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4:45–5:00pm |
Closing Remarks |
5:00–6:00pm |
Cocktail Reception with the Exhibitors |
Pictures from the Symposium
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