The 3rd Annual Small Firms Forum will address key business and regulatory issues impacting the smaller broker-dealer, and emphasize strategic and tactical ideas to help your firm navigate through these dynamic and challenging times.

 

Program highlights:

 

·          Douglas Shulman, Vice Chairman, NASD, Inc.

·          Stewart A. Lee, Chairman and CEO,
LEE Training, LLC

·          SRO Consolidation

·          Advising Senior Investors

·          Fixed Income Issues

·          CEO Panel Discussion: Firms in Transition

·          Client-Focused Marketing

·          Written Supervisory Procedures and Documentation

·          Securities Industry and Financial Markets Association Update

 

 

When and where?

April 11, 2007, New York Marriott Marquis, New York City, NY

 

Who should attend?

This conference is a must for CEOs and senior management of retail and institutional firms that operated with limited staff. 

 

Click on the registration button to register.

 

For more information, please contact:

Rob Gannon

rgannon@sifma.org

(212) 618-0587

 

For sponsorship information, please contact:

Jeff Freimauer      

jfreimauer@sifma.org

(212) 618-0592