5th Annual

Technology & Compliance Symposium

The National Association of Independent Broker/Dealers welcomes your CEOs, CCOs, CTOs, CIOs, and other securities industry professionals to attend the NAIBD 5th Annual 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!

-----------------------------------------------

Featuring Keynote Presenter:

  Dale Brown

  Chief Executive Officer

  Financial Services Institute

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.

-----------------------------------------------

Where: The Omni Los Angeles Hotel

             251 South Olive Street

             Los Angeles, CA 90012

             (213) 617-3300

When: Monday, May 8, 2006, 8AM-6PM (includes breakfast, lunch, and hosted reception).

How: Attendees RSVP now!

Broker/Dealer Attendee Registration Form

Vendor Attendee Registration Form

Register today by downloading, completing, and hitting submit.

 You can also mail in your form to

National Association of Independent Broker/Dealers
16835 West Bernardo Drive, Suite 203
San Diego, CA 92127
Tel: (888) 646-2423
Fax: (858) 592-9958
Email: naibd@naibd.com

*Reserve a Room: The Los Angeles Omni Hotel For reservations call: 1-800-THE-OMNI and refer to NAIBD for our special rate!

Exhibitors RSVP now!

Exhibitor Registration Form
Exhibitor Contract and Instructions
Both of the above forms must be completed and faxed with payment to (858) 592-9958.

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

-----------------------------------------------

Schedule of Events: Detailed Version

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

9:00 AM: "Coffee With The Regulators"

11:00 AM: Lunch Buffet

12:00: Keynote Presentation: (TBA)

1:00 PM: CEO Discussion Group

3:00 PM: Electronic Document and Retention Panel

5:00 PM: Hosted Reception & Grand Prize Drawing

-----------------------------------------------

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 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

Final details are being confirmed with an executive officer from

one of the most familiar names in technology. 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 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.

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.

-----------------------------------------------

 Contact Information:

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