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FOR IMMEDIATE RELEASE           
           

Rick Ketchum, Chairman and CEO of FINRA to Speak at NAIBD Fall Symposium

PRINCETON JUNCTION, NJ – September 30, 2010 – The National Association of Independent Broker/Dealers (NAIBD), an advocate for small and independent broker/dealers for almost 30 years, has announced that Chairman and CEO of the Financial Industry Regulatory Authority (FINRA), Rick Ketchum, will deliver the breakfast keynote speech at its Fall Symposium on October 19, 2010 at the New York Stock Exchange (NYSE) in New York City.

In addition to his role as Chairman and CEO of FINRA, Ketchum is also Chairman of the World Federation of Exchanges’ regulatory committee and has almost 2 decades of experience in regulatory leadership roles. In his presentation, Rick will discuss regulatory changes currently affecting broker/dealers throughout the investment management industry, as well as industry trends.

The Symposium, themed “Navigating Growth and Compliance,” features a variety of educational sessions and workshops helping to provide broker/dealers with the business and development tools needed to achieve success. Agenda highlights include a regulatory panel with front-line FINRA and SEC staff focusing on new trends in regulation and how to protect your firm, an investment and market update on what broker/dealers can expect from this changing environment as well as a best practices session on how firms can increase their bottom line. Attendees will also have the opportunity to connect with the top stakeholders throughout the investment management industry and learn about the latest products and services in the Symposium’s exhibit hall.

“FINRA plays a major role in how we conduct business and serve our clients,” said Steve Distante, Chairman of NAIBD. “Rick’s presentation will help attendees understand current regulatory changes and how they can adapt to achieve success within their individual firms.”

NAIBD was formed in 1979 by broker/dealers who met regularly to discuss areas of common interest such as due diligence, compliance and regulation. The association recently introduced new member programs and a heightened focus on independent broker/dealer advocacy, as applications surge in light of the recent economic environment.

For more information on NAIBD, please visit www.naibd.org.

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About the National Association of Independent Broker/Dealers (NAIBD)
NAIBD was formed in 1979 and continues as a networking group of broker/dealers who meet regularly to discuss areas of common interest such as due diligence, compliance, personnel and regulation. The organization works to keep members and regulators aware of the real effects that regulations have on broker/dealer firms of all sizes and business models. Hundreds of broker/dealers, industry providers and suppliers from across the country have taken advantage of the many NAIBD member benefits including advocacy, education, health insurance and networking. To become part of the voice of the broker/dealer community, please visit www.naibd.org for more information.