Welcome to the 19th Annual Small Firms Conference &
Exhibit!
For the second consecutive year, SIA’s Small Firms Conference & Exhibit will focus on the unique opportunities and challenges of operating as a dually registered broker-dealer and investment advisor. As this model gathers favor and attention throughout the industry, the issues of sustaining growth, operating efficiently, and meeting increasing and sometimes confusing compliance burdens remain as the top management challenges for the smaller BD/RIA.
Program highlights:
· Keynote Address by John Taft, President and Chief Executive Officer, RBC Dain Rauscher and Voyageur Asset Management
· NASD Regulatory Update by Marc Menchel, Executive Vice President and General Counsel, Regulatory Policy & Oversight, NASD
· “The Future of the BD/RIA Model,” Michael P. Kostoff, Executive Director, Financial Services Practice, The VIP Forum
· "Securities Industry and Financial Markets Association Update," Micah S. Green, President, The Bond Market Association
· CEO Panel: “BD/RIA: The Small Firm Perspective”
· Successful Business Development
· Broker vs. Adviser: Understanding the Regulatory Landscape
· Strategic Planning For the Smaller Firm
· The Compliance-Centric BD/RIA
· Vertical Integration: Building Relationships Across Generations
· Negotiating Your Clearing Agreement
·
Management Roundtables on Strategic Marketing, E &
O Insurance, Recruiting, and Continuing Education
Who should attend?
This meeting is critical for CEOs, senior management and department heads of smaller broker-dealers and registered investment advisors. Firms considering dual registration, as well as service providers to the brokerage and investment advisory industries, should also attend.
When and Where?
October 18-20, 2006 at the Marriott Harbor Beach Resort & Spa, Ft. Lauderdale, FL
For further information please contact:
Rob Gannon
212-618-0587
For sponsorship and exhibit information please contact:
Lisette Burgos
212-618-0592