SPRING

Technology & Compliance Symposium

March 5, 2007 8AM-6PM

The Omni Los Angeles Hotel

     251 South Olive Street

     Los Angeles, CA 90012

      (213) 617-3300

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

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, 30 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:

Ed Wedbush of Wedbush Morgan Securities

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RSVP TODAY

Broker/Dealer Registration Form

Vendor Registration Form

There are more spaces available for proven industry vendors. Register today so you don't miss out on this special event!

 You can also mail or fax your form to:

National Association of Independent Broker/Dealers
16835 West Bernardo Drive, Suite 203
San Diego, CA 92127
Tel: (888) 646-2423
Fax: (866) 250-1914
Email: naibd@naibd.com

*Reserve Your Room Early:

Please call The Los Angeles Omni Hotel For reservation:

1-800-THE-OMNI and refer to NAIBD for our special rate of $209!

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Schedule of Events:

8:00 AM: Registration, Exhibition Begins, Breakfast Buffet

9:00 AM: "Coffee With The Regulators"

11:00 AM: Lunch Buffet

11:45 AM: Keynote Presentation:

Ed Wedbush of Wedbush Morgan Securities

12:45 PM: NASD Oats Road Show

1:30 PM: CEO Discussion Group

3:30 PM: Electronic Document and Retention Panel

5:00 PM: Hosted Reception & Grand Prize Drawing

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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. Experienced representatives including Daniel Sibears of NASD and Joseph Borg of NASAA will participate as NAIBD's president Lisa Roth moderates, so come ready to raise your hand, ask your questions, and GET ANSWERS!

Keynote Presentation

Final details are being confirmed with an executive officer from

one of the most familiar names in technology, Ed Wedbush of Wedbush Morgan Securities. Bring your notepad for practical tips, and enjoy our buffet lunch at the same time… both will be a tasty treat!

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 such as Mark Dransfield of First Allied Securities and Ray Higgins of Higgins Capital allow you to learn from their mistakes instead of your own!   This panel will be moderated by Don Bizub, CEO of Western International Securities.

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.   Come join Jeffrey Green of Laserfiche as he moderates and asks the regulators; Don Montgomery of Akonix, David Ramon of USA Net and Tom Embrogno of Docuspace how to keep up with the needs of the industry.

Hosted Reception & Grand Prize Drawing

Let your hair down and unwind around 4:30pm at our hosted reception with cocktails, hors d’oeuvres, live entertainment, and a Grand Prize Drawing.

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 Contact Information:

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

gdonesa@naibd.com