3rd Annual Small Firms Forum
April 11, 2007 - New York Marriott Marquis, New York, NY|
wednesday, april 11, 2007 |
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8:00 a.m. - 8:30 a.m. |
Continental Breakfast Hosted by National Financial |
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8:30 a.m. - 10:00 a.m. |
General Session |
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Welcome and Opening Remarks |
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William R. Pictor President and Chairman, Small Firms Committee |
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Securities Industry and Financial Markets Association Update
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Marc E. Lackritz Chief Executive Officer |
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Keynote Address |
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Stewart A. Lee Chairman and Chief Executive Officer |
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10:00 a.m. - 10:15 a.m. |
Refreshment Break Hosted by ADP
Clearing & Outsourcing Services |
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10:15 a.m. - 11:15 a.m. |
General Session |
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CEO Panel: Firms in Transition |
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Moderator: John Adams Vaccaro, CFP®, CLU President Panelists: Michael J. Campbell Chief Executive Officer John W. Rafal President Thomas Schweizer, Jr. President |
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A panel of broker-dealer leaders will share how their firms are developing new business and adapting strategies to take advantage of changing markets, opportunities and challenges. The importance of culture, benchmarking, and consistency to the small firm model will be discussed. |
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11:15 a.m. - 12:30 p.m. |
General Session |
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Advising Senior Investors: Challenges and Opportunities |
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Panelists: Dominick F. Evangelista Partner, Securities Law Kenneth A. Kamen President Miriam Lefkowitz General Counsel/Director of Compliance |
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The exploding senior investor market presents an array of opportunities for small firms. Trusts, family office, relationships with heirs, and generational investing are areas where small firms can add value and build a unique business. However, these same opportunities can present product, compliance and litigation challenges. The panel will discuss both sides of this growing business opportunity. |
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12:30 p.m. - 1:45 p.m. |
Luncheon and Speaker Hosted by Federated
Securities Corp. |
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SRO Consolidation: Impact on Small Firms |
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Douglas Shulman Vice Chairman and President, Markets, Services
and Information |
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Mr. Shulman will address the next steps in SRO consolidation, including governance, rulemaking, and the impact on smaller broker-dealers. |
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1:45 p.m. - 2:30 p.m. |
General Session Hosted by ADP
Clearing & Outsourcing Services |
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Marketing Ideas and Insights |
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Richard J. Franchella Senior Managing Director, Private Client Group |
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Richard Franchella will discuss tactical marketing ideas and strategies that can be adapted and readily implemented in financial services firms of various sizes and business models. A member of SIFMA's Private Client Services Committee and regular contributor on "experience marketing" in the Committee's branch manager training programs, Mr. Franchella will highlight how marketing can enhance client acquisition and retention. |
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2:30 p.m. – 2:45 p.m. |
Refreshment Break Hosted by PriceMetrix |
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2:45 p.m. - 3:45 pm |
General Session |
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Fixed Income Issues and Answers |
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Moderator: Lynnette Hotchkiss Senior Vice President and Associate General Counsel Securities Industry and Financial Markets Association Panelists: Michael Camacho Managing Director, Structured Investments, Americas Thomas S. Ricketts President and CEO John G. Tessar III, CFP® Product Manager - Structured Products |
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A huge array of structured products is being issued in the United States. This session will help de-mystify and explore trends in the structured product space. Suitability, demand factors, distribution issues, product evolution, and education tools for brokers and investors will be addressed. |
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3:45 p.m. - 4:45 p.m. |
General Session |
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Documentation Fever - Is It Cooling Off? |
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Moderator: Karen M. O'Brien Partner Financial Industry Service Group LLC Panelists: Jennifer M. Haas Senior Vice President, Chief Compliance Officer Lisa Robinson Associate Director, Member Regulation |
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Have firms "over-reacted" to the requirements of CEO certification and supervisory controls? Or, are new rules governing written supervisory procedures and testing, and "culture of compliance" exams creating documentation overload? This session will provide guideposts to finding the right documentation balance, and share tips to help eliminate "self-inflicted" traps. |
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4:45 p.m. |
Closing Remarks and Adjournment |
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William R. Pictor President and Chairman, Small Firms Committee |
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Tote Bags Provided by The
Davidsohn Group Wall Street Journals
Provided by Dow Jones
Newswires Attendees’ Notebooks Provided by First Clearing Correspondent Services Morning Audio Visual Hosted by Pershing LLC
Conference
Contributor: Quodd Financial Information
Services Conference Contributor: SMARSH Inc. |
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