2nd Annual Small Firms Forum

SIA’s 2^nd Annual Small Firms Forum will address the critical challenges that confront retail and institutional firms that operate with limited staff and resources.  The challenge for small to mid-sized broker dealers to survive and thrive in the current environment has become increasingly complex and difficult.  How are these firms addressing the crush of regulatory proposals, intense competition, and the challenge to keep pace and provide quality service to customers?  Sponsored by SIA’s Small Firms Committee, the 2006 Small Firms Forum will address these key issues and provide answers from the smaller firm perspective

 

Program Highlights:

 

• Featured Luncheon Presentation: “The Present and Future of Self-Regulation,” Robert R. Glauber, Chairman & Chief Executive Officer, NASD
• SIA Update: Marc E. Lackritz, President, Securities Industry Association
• CEO Certification and Supervisory Procedures: Next Steps
• Managing Your Next SRO or SEC Examination
• Regulatory Impact on Correspondent/Clearing Firm Relationships
• Best Execution Obligations in a Changing Trading Environment
• BCP: More About What the Smaller Firm Should Know
• Planning Ahead:  Management Succession in the Smaller Firm 

 

Who should attend?

 

This meeting is critical for CEOs, chief compliance officers, senior management and department heads of smaller retail and institutional broker-dealers.  Those responsible for legal, compliance, supervision, marketing, sales, trading, and operations, as well as service providers to the brokerage industry, should attend.

 

The Forum begins with continental breakfast at 7:30 a.m. on Tuesday, April 4^th and concludes at 5:00 p.m. 

 

Marriott Financial Center

85 West Street

New York, New York 10006

 

 

For further information please contact:

 

Rob Gannon
rgannon@sia.com
212-618-0587