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Regulatory Updates - What you Need to Know!
Guilty Until Proven Innocent - What You Need to Know About Arbitration
Regulatory Update
Hiring and Retaining Top Talent
Compliance Issues Posed by LinkedIn, Twitter, Blogging &
Social Networking
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Symposium
Sponsors & Exhibitors
Luncheon Keynote Sponsor:
Exhibitors include:
Bank of Internet
Broadridge
CPS Insurance Services
The Daniel & Henry Company
EAI Information Systems
JH Financial Group
LaserApp
Laserfiche
Liquid Insured Deposits
PaperClip Inc.
RBC Correspondent Services
Royale Energy
SalesPage Technologies
Smarsh
Thomson Reuters
Trunity
Trust Builders, Inc.
Wedbush Securities
Media Sponsors include:
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Spring Symposium 2010
Spring Symposium
April 7-8, 2010
Newport Beach, CA
It's a New Decade...
New Rules.
New Ideas.
New Information.
Looking for direction? Please join NAIBD at our
Spring Symposium!
For over 30 years, NAIBD has been your partner in providing advocacy, education and information on the issues that you care about most! Invest just one day and get the information you need to go back to your firm prepared to overcome the challenges and plan for long-term success.
NAIBD is proud to offer you ONE information-packed day (that doesn't bust your budget or your time!)
Featuring:
Congressman John Campbell
Member - House Committee on Financial Services
At a Glance...
Wednesday, April 7 - (Optional)
- Evening Cocktail Reception with the Exhibitors
- Early arrivals: If you will be in Newport Beach on Wednesday evening, please plan to join us for this additional night of networking.
Thursday, April 8
- Luncheon Keynote Address by Congressman John Campbell - Member of the House Committee on Financial Services (Sponsored by Grubb & Ellis Securities, Inc.)
- FINRA's Chip Jones, both District Directors from FINRA's Los Angeles and San Francisco offices and an SEC attorney provide regulatory updates
- CEOs Perspectives on Building Your Business
- Due Diligence Discussion on How to Vet Products and Reassess Risk of Existing Products
- Compliance Issues Posed by LinkedIn, Twitter, Blogging & other Social Networking sites
- Valuable Networking Throughout the Day - Breakfast, Lunch & Cocktail Reception with Industry Leaders
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Get Registered
Do not miss this opportunity to connect with your regulators, your peers and vendors that will keep you updated on what you need to know now! Registration is only $50 for NAIBD broker/dealer members and $100 for non-member qualified broker/dealers.
Symposium registration includes entrance to educational sessions, breakfast, lunch, industry exhibits, networking receptions and other relevant materials.
Interested in joining NAIBD? Members pay 50% less to attend this event!
Register now; space is limited!
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Agenda
Wednesday, April 7 |
| 3:00pm |
Exhibitor Set-up |
| 5:30–6:30pm |
Cocktail Reception with the Exhibitors for Early Arrivals |
Thursday, April 8 |
| 8:00–8:25am |
Breakfast with the Exhibitors |
| 8:25–8:30am |
Welcome/Housekeeping
Maureen Maloney, CCO-Retail, Grubb & Ellis Securities, Inc. |
| 8:30–9:15am |
Breakfast Keynote with Chip Jones, Senior Vice President of Member Relations, FINRA
Introduced by Steve Distante, President and CEO, Vanderbilt Securities |
| 9:15–10:15am |
Coffee with the Regulators
Moderator:Lisa Roth, CEO, Keystone Capital
Panelists: Karol Pollock, Assistant Regional Director, LA SEC Office
Christian Zrull, FINRA District 1 Director
David Greene, FINRA District 2 Director |
| 10:15–10:45am |
Networking Break with the Exhibitors |
| 10:45–11:45am |
Building Your Business from a CEO Perspective
Moderator: Brian Kovack, Co-founder & President, Kovack Securities
Panelists: Bob Muh, CEO, Sutter Securities
Don Bizub, CEO, Western International Securities
Randy Ciccati, President, ING Wealth Solutions
Jack Handy, President & CEO, Financial Network |
| 11:45–12:30pm |
Lunch Keynote with Congressman John Campbell
Introduced by Maureen Maloney, CCO-Retail, Grubb & Ellis Securities, Inc.
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| 12:30–1:30pm |
Lunch |
| 1:30–2:30pm |
NAIBD Leaders Address Hot Topics on Regulations and the Industry
Introduced by Jim Williams, President, Financial Telesis
Panelists: Don Steel, President, Planned Investment Co.
Lisa Roth, CEO, Keystone Capital
Bob Muh, CEO, Sutter Securities
Jack Fitzgerald, Director - Legal & Compliance, Leerink Swann LLC |
| 2:30–3:30pm |
Due Diligence in an Ever-Changing World
Moderator: Jack Fitzgerald, Director-Legal & Compliance, Leerink Swann LLC
Panelists: Harriet Britt, CCO, ThinkEquity LLC
Paul King, Esq., Senior Vice President of Direct Investments, Centaurus Financial Inc.
Brett Evans, Esq., President, Pacific Point Securities LLC
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| 3:30–4:00pm |
Networking Break with the Exhibitors |
| 4:00–4:45pm |
Social Networking
Moderator: David Sobel, Executive Vice President, Compliance & In-House Counsel, Abel/Noser Corp.
Panelists: Elliott Curzon, Partner, Dechert LLP
Steve Marsh, CEO, Smarsh |
| 4:45–5:00pm |
Closing Remarks
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| 5:00–6:00pm |
Cocktail Reception with the Exhibitors |
Thank you to our Symposium Co-Chairs:
Maureen Maloney, Grubb & Ellis Securities, Inc. and Jim Williams, Financial Telesis Inc.
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