News Room::National Association of Independent Broker/Dealers

2009 NAIBD SPRING SYMPOSIUM PROVIDES BUSINESS DEVELOPMENT TOOLS FOR INDEPENDENT BROKER/DEALERS

Expanded Format Now Includes Separate Tracks Designed for CEOs and Compliance Professionals

PRINCETON JUNCTION, NJ – December 15, 2008 – The National Association of Independent Broker/Dealers (NAIBD), an advocate for small and independent firms for almost 30 years that aims to improve the regulatory and business environment for broker-dealers, will focus on critical issues affecting independent broker/dealers at the Annual Spring Symposium, March 18, 2009 at the Sheraton Delfina in Santa Monica, California.

The Spring Symposium will provide a chance for broker/dealers to get up to speed on the latest regulatory initiatives and understand how the recent market turmoil will affect their firms. New this year, the association expanded the Symposium format to include specially-designed tracks for CEOs and compliance professionals.

“NAIBD is adapting to the changing needs of our members,” said current Chairperson of NAIBD, Lisa Roth. “By offering separate tracks this year that are customized to meet the needs of CEOs and compliance professionals, we can help them better anticipate major issues that they may face in this unpredictable market.”

Bob Veres, founder of Inside Information and dynamic futurist/change agent, will open the conference with a keynote speech on “Insights into Best Practices, Ideas and Innovations.” Veres offers a real-world, hands-on and often humorous look at the future of the financial planning profession, where advisors will learn how to play a central role in the world’s economy.

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 in Regulation 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? Moderated by Brian Kovack, Kovack Securities and NAIBD Spring Symposium Conference Chairman
How to Implement STP to Improve Your Business Processing and Reduce Compliance Headaches, Moderated by Steve Distante, Vanderbilt Securities and current NAIBD President.
A Snapshot of Five Years into the Future, Moderated by LaRae Bakerink, WBB Securities
U.S. Economic and Political Environment: Impacting Your Business, Moderated by Lisa Roth, Keystone Capital Corp and current NAIBD Chairperson.
Guidelines for Revenues & Expenses, Moderated by Don Steel, Planned Investment Company

NAIBD was formed in 1979 by five southern California broker/dealers who met regularly to discuss areas of common interest such as due diligence, compliance and regulation. The organization is now national in scope with over 350 broker/dealer and industry associate members. Its members enjoy numerous benefits including educational meetings and symposiums held across the country, up-to-date compliance notices and commentary regarding regulatory changes, rebates and discounts from industry vendors and numerous networking opportunities.

Serving as a small and independent firm advocate for almost 30 years, the NAIBD and its board of directors work together with Independent Broker/Dealer owners & principals, industry product & service providers, and the SEC, NASD, and state’s regulatory organizations to improve the securities industry as a whole. Recognizing the specific needs of Independent Broker/Dealers (which make up over 85 percent of all US securities firms), the National Association of Independent Broker/Dealers provides specialized, widely acclaimed advocacy by hosting national informational meetings, catering specialized website programs, rapidly distributing critical regulatory details and product/service offers, supplying feedback to SEC, NASD, and state regulators, and offering its Annual Technology and Compliance Symposium event. For more information, please visit www.naibd.org.