Technology & Compliance Symposiums

2009 Fall Symposium

October 23, 2009 in
New York City, NY

AGENDA

Coffee with the Regulators Moderator: Maureen Maloney, Grubb & Ellis Securities, Inc.

Technology Panel I – How to Use Technology to Grow Your Business Moderator: Jeffrey Green, Laserfiche

Technology Panel II – How to be Compliant Using Technology & Using Technology to Meet Compliance Moderator: Maureen Maloney, Grubb & Ellis Securities, Inc.

Keynote Luncheon Rick Ketchum CEO & Chairman of FINRA

CEO Discussion – Trends and Hot Topics Moderator: David Sobel, Abel/Noser Corp.

Alternative Investment – How Tangible and Alternative Assets Can Improve Clients Overall Portfolio Moderator: Robert Hackel, R.F. Lafferty & Co.

Recruitment Panel Moderator: James Williams, Financial Telesis, Inc.

2009 Fall Symposium Exhibitors

Accounting & Compliance International
Allegheny Natural Resources, Inc.
Compliance 11
Complinet
Discovery
Laserfiche
NRS
New River
NSCP
The Options Industry Council
The Plus Group
Regulatory Compliance
Smarsh
Superior Gold Group

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2009 Spring Business Development Symposium

March 18, 2009 in
Santa Monica, CA

AGENDA

General Session- Keynote Bruce Kelly, News Editor, Investment News

CEO Insights Top Ten Best & Worst Decisions What Works / What Doesn’t Moderated by Tim Morton, Westland Financial Services/WBB Securities

Operations & Compliance What’s Hot Regulations S/P, AML, Outside Business Activities Moderated by Rob Hackel, R.F. Lafferty

Investment Advisory What are successful RIA’s doing to grow their business?  Why the experts believe the hybrid B/D & RIA model is the future. Reviewing alternative investments. Moderated by Brian Kovack, Kovack Securities

Operations & Compliance Case Study: How to Implement STP to Improve Business: Processing and reducing compliance headaches Moderated by Steve Distante, Vanderbilt Securities

General Session A Snapshot of Five Years in the Future Clearing houses share their thoughts on what the future holds Moderated by LaRae Bakerink, WBB Securities

General Session U.S. Regulatory and Political Outlook - How it may impact your business Moderated by Don Steel, Planned Investment Company Inc.

General Session Guidelines for Revenues & Expenses What should your Firm be earning? How do you value what your Firm is worth? PCAOB Update Moderated by Jim Williams, Financial Telesis

Session Highlights

Keynote: Bruce Kelly, News Editor, Investment News
How are the never-before-seen recent industry developments going to impact your firm?

Top 10 Best & Worst Decisions
Growing and managing an independent broker/dealer requires education, experience and a little bit of luck. What were the best and worst decisions that this Panel of top industry executives made? Listen in while this seasoned panel of industry pros discuss the good, the bad and the ugly.

What’s Hot- Regulation S/P, AML, Outside Business Activities and More
What are regulators 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.

What are Successful RIA’s Doing to Grow Their Business? Why the Experts believe the RIA & B/D Models are the Future
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.

Case Study- How to Implement STP to Improve Your Business Processing and Reduce Compliance Headaches
Are you still using paper to open new accounts? How about Excel spreadsheets to track commissions or perform trade review? This session will discuss in detail how several firms made the transition from “old school” business-as-usual to Straight Through Processing (STP) and how it impacted their business. Listen in on how these panelists developed STP for their non-brokerage and brokerage business.

A Snapshot of 5 Years in the Future
How are the dramatic changes in regulation and the economy going to affect the small and mid size B/D’s? Will your firm survive 5 years from now? Acquisitions of other firms, adding wirehouse reps, or just selling the company and getting out—this “no holds barred” candid discussion will help you guide the future of your firm. This panel will share their views on the shifting financial landscape and the future of small and mid-size independent broker/dealers.

U.S. Regulatory and Political Environment: How it may impact your business
This General Session will focus on the present economic conditions and how the massive proposed legislative changes will shape the future of the global and U.S. economy.

Guidelines for Revenues and Expenses: What Should Your Firm be Earning? How do you value what your Firm is worth?
How does your small to mid-size firm compare with others within the industry? Is your firm earning more or less on Net Income? How about your home office staff- what types of salary ranges are your competitors paying? This session is one that everyone will want to attend discussing firm profitability, officer and employee pay ranges, clearing firm agreements, and more.

2009 Symposium Exhibitors

Accounting & Compliance International
Broadridge
CPS Financial and Insurance Services, Inc.
The Daniel and Henry Co.
EAI Information Systems
Invescor
ISN Network
LasrApp
Laserfiche
PaperClip Incorporated
Peter Montoya, Inc.
Rothstein Kass
Smarsh
Superior Gold Group
Thomson Reuters
Wedbush Morgan Securities

Supporting Publications

Financial Advisor Magazine
Registered Rep

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2008 Fall Technology & Compliance Symposium

NAIBD Rings NASDAQ Stock Market Opening Bell

NAIBD President Stephen Distante and Chairperson Lisa Roth presided over the Opening Bell on October 2, 2008. The Opening Bell Ceremony officially ‘kicked-off’ NAIBD’s 2008 Fall Symposium Conference at the NASDAQ MarketSite in Times Square. Click here to watch the video clip of the Opening Bell ceremony.

2008 Fall Symposium Exhibitors

Broadridge
CNG
Interlink Electronics
Laserfiche
National Financial
Pensco Trust Company
Peter Montoya, Inc.
Rrada
Price Metrix
Registered Rep.
Smarsh
Wedbush Morgan Securities

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2008 Spring Technology & Compliance Symposium

March 11, 2008

Los Angeles, CA

GUEST KEYNOTE SPEAKER:

Tim Sanders

Former Chief Solutions Officer of  Yahoo

“How Technology is Changing our Industry”

"Coffee w/the Regulators"
NAIBD brings industry professionals both 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.

Moderator: Brian Kovack, Esq.-President Kovack Securities

Cynthia Kittle - Regional Attourney,  FINRA

Martin Murphy - Assistant Regional Director, SEC

Pending – CA Department of Corporations

Broker Dealer Technology Panel

Come hear an exciting session on how Broker/Dealers are using technology to solve issues common to us all.  Questions will be asked regarding current topics, trends, regulations and specific technologies used in all areas of the B/D – Marketing, Compliance, Advisor Desktops, Administration, Operations etc., Rule 2821 projects, build or buy decision process, disaster planning, budgets, platforms and staffing may also be discussed. Come ask your question about a pet peeve of yours and how they may be dealing with the issue. 

Moderator: Rob Hackel– Managing Director, R.F. Lafferty & Co.

Gina Duryea – CEO, Pension Planners

Stephen Chipman - President & CEO Foothill Securities

LaRae Bakerink – CEO, WBB Securities

CEO Discussion Group
What a line up we have!  Come learn from proven industry leaders.  You will hear their deepest concerns, what they expect for their firms and the industry, about the mistakes they made and what was learned and a host of other current topics including; dealing with outside business activities, recruiting activities and dealing with regulators. Plenty of good solid advice from leaders that can help you and your firm succeed.

Moderator: Tim Morton – Director Development, WBB Securities

Ed WedBush – CEO Wedbush Morgan Securities

Don Bizub – CEO Western International Securities

Mike Melby – CEO Cue Financial Group

Randy Cicatti –CEO Primevest (ING)

Recruiting Panel

Want to learn more about the world of rep and advisor recruiting? Talk about a power panel! You won’t want to miss this session if your broker dealer is actively recruiting today. 

Moderator: Maureen Maloney – CCO, Retail Grubb & Ellis Securities, Inc.

Craig Katz – National Sales Director, Discovery Database

George Keith – Executive VP and National Sales Director, National Financial

Ryan Shanks – Founder and President, Finetooth Consulting

Jodie Papike – Vice President, Cross Search

2008 Spring Symposium Sponsors

National Financial
First Southwest Company
Docupace
Wedbush Morgan Securities
Price Metrix

2008 Spring Symposium Exhibitors

CNG
CPS Insurance Services
Discovery
Faxpipe
Financial Database Services
Interlink Electronics
Investigo
Laser App
Laserfiche
NRS
Peter Montoya, Inc.
RBC Dain Correspondent Services
Thomson
Smarsh

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2007 Fall Technology & Compliance Symposium

October 1, 2007

NASDAQ Marketsite

New York, NY

Featuring Keynote Presenter:

Mark Healy, Chief Operating Officer, National Financial

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.

"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!

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.

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.

2007 Fall Symposium Sponsors

National Financial
RBC Dain Correspondent Services
Investors Capital Advisory Services
NewRiver
First Southwest Company
Bear Stearns

2007 Fall Symposium Exhibitors

AttachPlus
CNG
CPS Insurance Services
Faxpipe
Financial Professionals Group
Insurance Technologies
Interactive Advisory Software
Laserfiche
Registered Rep
RRada
Thomson
Smarsh

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2007 Spring Technology & Compliance Symposium

March 5, 2007
Los Angeles, CA

Featuring Keynote Presenter:
Ed Wedbush of Wedbush Morgan Securities

"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.

2007 Spring Symposium Sponsors

Wedbush Morgan Securities
Thomson
Investors Capital Advisory Services
NewRiver
First Southwest Company

2007 Spring Symposium Exhibitors

cMAX
CPS Insurance Services
Faxpipe
Financial Database Services
Financial Professionals Group
Financial Visions
Laser App
Laserfiche
National Financial
Pershing
RBC Dain Correspondent Services
Registered Rep
RRada
Southwest Securities
Smarsh

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2006 Spring Technology & Compliance Symposium

May 8, 2006
Los Angeles, CA

Featuring Keynote Presenter:
Dale Brown, Chief Executive Officer
Financial Services Institute

"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 such as Rosalind Tyson, Lani Woltman and Bill Alsover will participate as NAIBD's president Lisa Roth moderates, so come ready to raise your hand, ask your questions, and GET ANSWERS!

Keynote Presentation: Why Your Business is at Risk and What You Can Do About It
Recent scandals and regulator overreaction have resulted in an oppressive regulatory climate. How should independent broker-dealers respond? How will your business be impacted in 2006? What role can you play to change the status quo? Dale Brown is the voice of independent broker-dealers and financial advisors to regulators and Congress. He will help you understand how you can make a difference.

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! Hear from CEO Mark Drainsfield of First Allied Securities, Jim Portman of ML Stern and COO John Simmers of ING Advisors Network. 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. Hear from Jonathon Davis, Vice President of the NASD and Mary Cilva of Live Office as Chairwoman of NAIBD and CEO of WBB Securities, LaRae Bakerink moderates and asks the regulators how to keep up with the needs of the industry.

2006 Spring Symposium Sponsors

National Financial
Advisor Mail
Operations Plus
Advisors Clearing Network, Inc.

2006 Spring Symposium Exhibitors

Advisor Mail
Advisors Assistant
cMAX
CPS Insurance Services
Financial Visions
Fiserv Investment Support Services
Fox Trot Software
Laser App
Laserfiche
Legent Clearing
National Financial
Operations Plus
Pershing
Quik!
RBC Dain Correspondent Services
Registered Rep
RenewData
Southwest Securities
Smarsh
Thomson
Wedbush Morgan Securities

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