FALL

Technology & Compliance Symposium

October 1, 2007 9AM-6PM

NASDAQ Marketsite

Four Times Sqaure

New York, NY

The National Association of Independent Broker/Dealers welcomes your CEOs, CCOs, CTOs, CIOs, and other securities industry professionals to attend the Fall Advocacy & Technology Symposium!

Yes, as an advocacy organization we have gone out of our way to make attendance free for Independent Broker/Dealers, so you don’t want to miss participating in this event! The NAIBD Tech Symposium includes beautiful breakfast and lunch buffets inside the hall, 20 top securities industry vendors, a casual "Coffee w/the Regulators", Discussion Group panelists with over 100 combined years of industry experience, and much more!

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Featuring Keynote Presenter:

Mark Healy, Chief Operating Officer, National Financial

Leveraging Technology to Create Efficiencies: 

See below for full description

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Don't delay and register today to attend our special event!

RSVP TODAY

       Only $35.00 to attend. NAIBD Members are FREE!

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HOTEL INFORMATION

*Reserve Your Room Early for Discounted Rates*  Please NOTE:  NAIBD HAS NO ROOM BLOCKS for this event.

Suggested Hotels in the area:

Westin Times Square

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Schedule of Events:

8:30 AM: Registration, Exhibition Begins, Breakfast Buffet

9:15 AM: "Coffee With The Regulators" with Elisse Walter of FINRA

10:30 AM: Electronic Document Retention with Steven Finnern of Smarsh

11:30 - 12:30 PM: Lunch

12:30 PM: Keynote Presentation by Mark Healy, COO of National Financial

 1:30 PM: CEO Discussion Group

 2:45 PM: "Meet the FINRA Board Candidates" Panel

 4:00 PM Closing Bell and Hosted Reception

ALSO, don't miss a special panel presentation of the FINRA board candidates confirmed to date:   

• Robert Muh, CEO of Sutter Securities Inc.
• G. Donald Steel, President of Planned Investment Company, Inc.
• Duncan Williams, President of Duncan Williams Inc.

COMPLETE SCHEDULE OF EVENTS
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Full Event Description:

"Coffee w/the Regulators"
NAIBD brings industry professionals and local & national regulators together for an informal, positive discussion of the latest regulatory initiatives. This unparalleled forum, both comfortable and productive, offers the two-way communication needed for critical improvements to the relationship between those who propose regulations and those who implement them. Elisse Walter and Bob Errico of FINRA will participate as NAIBD's chairman Lisa Roth moderates, so come ready to raise your hand, ask your questions, and GET ANSWERS!

Keynote Presentation

Don't miss this presentation by our Platinum Sponsors, National Financial.  Chief Operating Officer Mark Healy will highlight how broker/dealer firms are creating efficiency and streamlining operational processes by providing a lens into business process management, workflow and automation, outsourcing, and the drive to a paperless environment.   

CEO Discussion Group
You don’t have to make mistakes to grow! Have you ever suffered through a back-office catastrophe and wondered if how those renowned CEOs handled it when the pressure was on? COME FIND OUT at this Discussion Group where proven industry leaders allow you to learn from theirmistakes instead of your own!  This panel will be lead by Chairman Emeritus LaRae Bakerink. 

Electronic Document and Retention Panel

All securities firms face technology challenges and are trying to use this technology to increase their efficiency and meet regulatory requirements.  Jeffrey Green of Laserfiche moderates and asks Steven Finnern of Smarsh how to keep up with the needs of the industry.

Hosted Reception & Grand Prize Drawing

Don't miss the closing of the bell at 4:00 PM at the NASDAQ MarketSite.  Directly after, we will have our Grand Prize Drawing with a hosted reception with cocktails, hors d’oeuvres and live entertainment.

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 Contact Information:

Executive Director - Geraldine Donesa
16835 West Bernardo Drive, Suite 203
San Diego, CA 92127
Tel: (888) 646-2423

 Fax: (866) 250-1914

gdonesa@naibd.com