FSI Broker-Dealer Web Conference Archives

State Securities Examination Findings

Speakers: Joseph Borg, Director of the Alabama Securities Commission and Dave Rosedahl, Esq. of 2009 FSI Law Firm Sponsor Briggs & Morgan

Wednesday, December 9, 2009
4:00pm ET / 1:00pm PT 

To help FSI broker-dealer members make sense of the trends, issues and developments with state securities examinations, please join Dave Rosedahl, Esq. along with Joe Borg, director of the Alabama Securities Commission, who will provide background on the state regulatory environment and provide examples of state enforcement experiences. 

Download 12-09-09 FSI Web Conference

What’s going on in Washington? Understanding the 111th Congress

Speakers: Ilona Nickels, Congressional Analyst and FSI Staff

Wednesday, November 11, 2009
4:00pm ET / 1:00pm PT 

As congress takes on the challenge of reforming the regulatory structure of our industry, please join FSI staff and Ilona Nickels, a congressional analyst with 30 years of experience on Capitol Hill, who will provide insight into the inner workings of the legislative process. FSI staff will provide the context and background for how we can all work together in this historic time of financial services reform.

Download 11-11-09 FSI Web Conference

Securities Arbitration: Prepare for the Coming Storm

Speakers: Denis Dice and Joel Wertman of 2009 FSI Law Firm Sponsor Marshall, Dennehey, Warner, Coleman & Goggin

Wednesday, October 21, 2009
4:00pm ET / 1:00pm PT 

Historically in times of market decline and volatility, increases in client dissatisfaction with their financial services firm are often a direct result, leading to a corresponding increase in claims. Join us for an important Web conference to discuss FINRA claim statistics and the various types of claims.

Download 10-21-09 FSI Web Conference

Recent Enforcement Trends: Best Practices and Claim Prevention

Speaker: Sam Edgerton and Chad Weaver, Edgerton & Weaver, FSI 2009 Law Firm Sponsor

Wednesday, September 16, 2009
4:00pm ET / 1:00pm PT 

Regulators have become front and center in not only the public’s eye, but also in Congress. The SEC and FINRA will most certainly bring additional scrutiny of all aspects of independent broker-dealers. To help you prepare for this new environment, join us for an engaging Web conference with Sam Edgerton who will highlight the trends in enforcement actions and best practices for preventing claims in the future.

Download 09-16-09 FSI Web Conference

The Two Greatest Challenges to Your Business

Speakers: Dale Brown, CAE, President & CEO and David Bellaire, Esq., General Counsel & Director of Government Affairs, Financial Services Institute

Wednesday, August 19, 2009
4:00pm ET / 1:00pm PT

During this session FSI’s leadership will review FSI’s strategies and priorities for advocating on behalf of independent broker-dealers with an in depth look at two of the industries greatest challenges: the massive financial industry regulatory restructuring and efforts to undermine your financial advisors independent contractor status.

Download 08-19-09 FSI Web Conference

A Look Inside the Obama Plan for Regulatory Restructuring

Speakers: Clifford Kirsch and Michael B. Koffler, 2009 FSI Law Firm Sponsor, Sutherland

Wednesday, July 22, 2009
4:00pm ET / 1:00pm PT

With potential game-changing legislation being proposed by the Obama Administration for financial services industry regulatory reform, the impact to independent broker-dealers may be far-reaching. To help make sense and provide context for these potential changes, please join us for an engaging Web conference highlighting the details of the Administration’s plans in terms of the scope of changes to the industry. FSI staff will also provide the association’s views as to these changes and their impacts to FSI’s broker-dealer members.

Download 07-22-09 FSI Web Conference

Due Diligence Focus: Requirements For Alternative Investments

Speakers: Pete S. Michaels, Esq. and Derek C. Anderson, Esq., 2009 FSI Law Firm Sponsor, Michaels, Ward & Rabinovitz, LLP

Wednesday, June 17, 2009
4:00pm ET / 1:00pm PT

Join us for an important Web conference that will highlight the key due diligence issues involved, including recent case law decisions, FINRA exam programs, and selling obligations.  Additionally, Michaels will address the suitability requirements for Hedge Funds, 1031 Exchanges, Structured Products, and other alternative investment products.

Download 06.17.09-Due Diligence-4.00pm EDT

Uncertain Times: Capitalizing on Opportunities in The Pension Protection Act

Speakers: Jason Roberts of Reish Luftman and Lou Harvey of DALBAR

Tuesday, May 26, 2009
4:00pm ET / 1:00pm PT

Sweeping reforms contained in the Pension Protection Act (the “Act”) will provide significant opportunities for independent broker-dealers, but with these opportunities come challenges as new uncertainties create doubt into an already complex area. Join us for an interactive web conference with Jason Roberts of Edgerton and Weaver, an FSI law firm sponsor and Lou Harvey of DALBAR who will share their in-depth knowledge of the issues.

Download 05.26.09-FSI-Uncertain Times-1.00pm PT

Upcoming Regulatory Examination Priorities - Be Prepared

Speakers: David Rosedahl, Attorney, 2009 FSI Law Firm Sponsor Briggs and Morgan, PA, and Michael Burns, Chief Compliance Officer, PrimeVest

Wednesday, April 15, 2009
4:00pm ET / 1:00pm PT

FINRA, the SEC, and the states are rapidly changing the way they conduct examinations and are developing a new approach to their issue areas and exam priorities. To make sense of these changes and to help FSI members understand the impact on independent broker-dealers, join us for an engaging Web Conference.

Download 04.15.09-FSI-Upcoming Regulatory Examination-1.00pm PT

Threats and Opportunities: Independent Contractor Status, Regulatory Reform, and the FINRA Rulebook

Speakers: Dale Brown, President & CEO and David Bellaire, General Counsel & Director of Government Affairs

Wednesday, March18, 2009
4:00pm ET / 1:00pm PT

To share FSI’s advocacy priorities, plans and strategies, please join us for an information-filled web conference with the executive leadership of FSI.  In this engaging session, we will detail our advocacy efforts and share with you our approach to helping you navigate the key issues facing the industry today, including regulatory restructuring, challenges to independent contractors, FINRA rulebook consolidation, and the application of privacy rules.

Download 03.18.09-FSI-Threats and Opportunities-1.00pm PT

Beyond Privacy: Safeguarding Client information and Complying with the New Regulations

Speakers: Clifford Kirsch, 2009 FSI Law Firm Sponsor, Sutherland, and Kenneth Cherrier, Chief Compliance Officer, Woodbury Financial

Wednesday, February 18, 2009
4:00pm ET / 1:00pm PT

For Independent Broker-Dealers, the new changes in privacy rules, Reg S-P, and FACTA have broad implications. Join us for an engaging and interactive web conference with Clifford Kirsch and Kenneth Cherrier where they will provide the key information necessary to address the timely and critical client information issues independent broker-dealers face.

Download 02.18.09-FSI-Beyond Privacy-1.00pm PT

Challenges and Opportunities Presented by the Financial Crisis

Speakers: Steve Mellen and Thomas Vays, 2009 FSI Law Firm Sponsor, Winget, Spadafora & Schwartzberg, LLP and Nancy Kay, CCO, Wall Street Financial Group

Tuesday, January 20, 2009
4:00pm ET / 1:00pm PT

For many independent broker-dealers, these turbulent times have created management challenges in helping their reps navigate the inevitable issues resulting from the financial crisis.  Please join us for an engaging and interactive web conference with insight into the recruiting, client management, and compliance issues.

Right click here  here to download the audio file (mp3).

Economic and Regulatory Update: The Way Forward after The Great Market Break of 2008

Speaker: Jurrien Timmer, Director of Market Research for Fidelity Investments

Tuesday, December 9, 2008
4:00pm ET / 1:00pm PT

As the financial services industry continues to be challenged by the unprecedented changes and volatility in the markets, industry and regulatory experts are predicting a much different landscape in the coming months. To help FSI Broker-Dealer members make sense of these large macro changes, please join us for an engaging and interactive web conference with a leading Investment strategist who will share their expertise on the current state of affairs in the financial markets and what financial services industry regulatory issues will become a top priority.

Download 12.09.08-FSI-Economic and Regulatory Update-1.00pm PT

Update to Regulation S–P: Protecting Client Privacy and the Impact to Independent Broker–Dealer Firms

Speaker: David Rosedahl, Attorney, Briggs and Morgan, PA, FSI 2008 Law Firm Sponsor

Wednesday, September 17, 2008
1:00pm ET / 10:00am PT

The SEC proposes extensive changes to its Consumer Financial Information Regulation S-P (Reg S-P), the effects of which have broad reaching consequences, particularly in light of a recent, headline-making decision with one of the industry’s leading independent broker-dealer firms. Please join us for an engaging and interactive web conference with David Rosedahl of Briggs and Morgan, PA, who will share his in-depth knowledge and experience for the scope and detail of Reg S–P, and the important issues facing independent broker-dealer firms. 

Download 09.17.08-FSI-Update to Regulations-10.00am PT

Succession Planning for Independent Broker-Dealers – How Prepared Are Your Financial Advisors?

Speaker: Matthew J. Matrisian, Vice President of Practice Planning & Acquisitions for Raymond James Financial Services, Inc.

Wednesday, August 27, 2008
1:00pm ET / 10:00am PT

Join us for an engaging web conference with Matt Matrisian, Vice President of Practice Planning & Acquisition for Raymond James. Matt will share his insight on the research, trends, current business valuations and developments for succession planning for independent broker-dealers and their financial advisors.

Download 08.27.08-FSI_Succession Planning

Larue and Fiduciary Responsibility – Challenges and Opportunities

Speakers: Luigi Spadafora and Mathew Tracy of Winget, Spadafora & Schwartzberg, LLP

Wednesday, July 23, 2008
1:00pm ET / 10:00am PT

With the outcome of the Larue v. DeWolff, Boberg & Associates, allowing individual participants in 401(k) plans to sue plan fiduciaries for injuries to their personal accounts, the financial services industry have been scrambling to assess its real-world implications.  Join noted compliance attorneys Luigi Spadafora and Mathew Tracy of Winget, Spadafora & Schwartzberg, LLP as they provide information for how independent broker-dealers and their financial advisors can prepare for these contingencies and profit from the opportunities. 

Download 07.23.08-FSI-Laure and Fiduciary Responsibility - Challenges and Opportunities for Broker Dealers

Managing Compliance Mandates through Paperless Technologies

Speakers: Jon Neiditz, Information Management Practice, Nelson Mullins Riley & Scarborough and Brian La Pointe, Director, Strategic Solutions Group, Laserfiche

Wednesday, June 18, 2008
1:00pm ET / 10:00am PT

As the financial services industry is rapidly embracing digital document management technologies, going "paperless" has also created opportunities for independent broker-dealers and their reps to leverage these new technologies to manage recent regulatory mandates. Join attorney Jon Neiditz, head of the Information Management practice at Nelson Mullins Riley & Scarborough and Brian LaPointe, Director of the Strategic Solutions Group at Laserfiche, for an engaging and interactive session.

Download 06.18.08-FSI-Managing Compliance Mandates Through Paperless Technologies

FINRA Arbitration – Preparing Broker-Dealers and Financial Advisors

Speaker: Joseph A. Sack, Esq. of The Sack Law Firm, PLLC and Tom Hine, CFP^® of Capital Wealth Management, LLC

Wednesday, May 21, 2008
1:00pm ET / 10:00am PT

Due to the recent volatility in the markets, the increase in investment product problems associated with sub-prime mortgage securities, along with intense media scrutiny into the financial services industry, investor complaints are expected to rise.  Learn from an experienced attorney and a veteran financial advisor, who have successfully gone through a recent arbitration case, on the best ways to prevent customer claims and the specific steps broker-dealers can take to support their advisors during what can be a long, difficult and trying process.

Download 05.21.08-FSI-FINRA Arbitration - Preparing BD's and Financial Advisors

The Secrets to Value-Added Marketing

Speaker: Stephanie Bogan, President, Quantivus Consulting

Wednesday, April 23, 2008
1:00pm ET

With many choices facing broker dealers for the types and levels of value-added marketing, FSI is pleased to provide access to Stephanie Bogan, a nationally recognized consultant and speaker on practice management and marketing.  Stephanie will share her insight on industry trends, the role of value-added programs, opportunities for B/Ds to better communicate and target programs, and how B/Ds can change the role of these programs in driving advisor recruiting and retention.  

Download 04.23.08-FSI-The Secrets to Value-Added Marketing

Compliance Update – Senior Issues

Speakers: Mark Quinn, General Counsel of Royal Alliance Associates and Tim Lyle, Chief Compliance Officer of Mutual Service Corporation

Tuesday, March 18, 2008
1:00pm ET

In compliance and regulatory circles, 2008 is shaping up to be “the year of the senior.”  Over the past year, the SEC, FINRA, and several state securities administrators have expressed increasing concern about sales of securities to seniors, including use of professional designations, “free-lunch” seminars, sales of variable annuities, and the use of Internal Revenue Code Section 72(t) in connection with customers electing to take early retirement. 

Download 03.18.08-FSI-Compliance Update - Senior Issues for Broker Dealers

The Best of OneVoice 2008: FSI Broker-Dealer Conference - Answering the Leadership Challenge Ideas and Techniques to Improve Your Effectiveness as a Leader

Speakers: Bill Dwyer, CEO of LPL, Peter Wheeler, CEO Commonwealth Financial Network, Mike Mungenast, CEO of ProEquities
Moderator:  Dale Brown, CEO of FSI

Wednesday, February 20, 2008
1:00pm ET

Today’s broker-dealer executive wears many hats, but none rests as heavily as that of leading a firm through evolution and growth, during a time of evolution in an industry.   Back by popular demand, this session recently held at the 2008 FSI Broker-Dealer Conference was critically recognized as one of the “Best” and “Can’t miss” sessions.  This panel of three broker-dealer CEOs from firms of different types and sizes offers valuable dialogue and industry experience on their top challenges and opportunities.

Download 02.20.08-FSI-The Best of the Broker Dealer Conference

12b–1 Fees: Trends, Developments and the Way Forward for Broker-Dealers

Speaker:  Cliff Kirsch, partner at FSI law firm sponsor Sutherland Asbill & Brennan, LLP

Wednesday, January 16, 2008
1:00pm ET

Cliff Kirsch will provide a brief history of how and why 12b – 1 fees came into existence, why they are currently under review, detail the outcome from the SEC’s recent roundtable as well as offer insight into the newsworthy events impacting 12b-1 fees.

Download 01.16.08-FSI-12b - 1 Fees for Broker Dealers

Regulation S–P: The Privacy Issues, Challenges, and Interpretations Facing Broker Dealers Today

Speaker: David Rosedahl, Attorney, Briggs and Morgan, PA, FSI legal sponsor firm

Wednesday, November 14, 2007
1:00pm ET

Regulation S–P has become a major legal and compliance issue for broker-dealers to understand, manage and implement in their daily operations.  During this conference, Mr. Rosedahl will share his in-depth knowledge and experience for the scope and detail of Reg S–P, the various interpretations and related uncertainties of the law, how regulators are currently treating and enforcing it, as well as offering advice for how firms can structure their policies and procedures to manage various state interpretations. 

Download 11.14.07-FSI-Privacy Issues Facing Broker Dealers

Business Policy Opportunities in a Turbulent Political Environment

Speaker:  Gregory S. Casey, President & CEO of the Business-Industry Political Action Committee (BIPAC)

Wednesday, October 24, 2007
1:00pm ET

With an unprecedented number of baby boomers heading toward retirement, the financial services industry is increasingly becoming more and more front and center in the eyes of politicians and policy makers.  Now more than ever, FSI members need to have a solid understanding of the potential issues and policies that are currently being discussed and how these will impact the way financial advice is consumed, delivered and compensated.  To help cut through the often confusing and opaque nature of Washington, join us for an enlightening presentation by DC insider Greg Casey, President and CEO of the Business-Industry Political Action Committee (BIPAC).  Greg will detail the causes of political change, the inherent strength of the business message and how opinions are moved one person at a time.  Armed with the ultimate insider’s understanding of Washington’s political machinery, tempered with real-world business experience.

Download 10.24.07-FSI-Business Policy Opportunities

An Examination of Best Practices in Connection with Section 72(t) of the Internal Revenue Code; and with Viatical and Life Settlements

Speakers: Luigi (Lou) Spadafora, Esq. and Michael Schwartzberg, Esq., partners in FSI 2007 Law Firm Sponsor Winget, Spadafora & Schwartzberg, LLP

Wednesday, September 19, 2007
1:00pm ET

Regulators are scrutinizing 72(t) early retirement plans and transactions in life settlements and viaticals. In this web conference, our speakers will examine the various State and Federal regulations governing each area and will provide best practice recommendations to remain in compliance and avoid arbitration claims. Make plans to join us on Wednesday, September 19, 2007, 1:00 pm Eastern, to learn about this important issue.

Download 09.19.07-FSI-Section 72

Variable Annuity Sales Practices: An Examination of the NASD Rule 2821 for Broker-Dealers

Speaker: Cliff E. Kirsch of 2007 FSI Associate Sponsor Sutherland Asbill & Brennan, LLP

Wednesday, June 13, 2007
1:00pm ET

Since the mid-1990s, variable annuity sales practices have been front and center on the SEC, NASD, state securities and state insurance regulatory agendas.  The application of the suitability doctrine to variable annuities has been at the forefront of this regulatory activity.  In this web conference, Cliff E. Kirsch, an attorney with 2007 FSI Associate Sponsor Sutherland Asbill & Brennan LLP, will examine the relevant regulatory framework applying to variable annuity suitability, the NASD’s proposed variable annuity sales practice rule (Proposed Rule 2821), and special compliance considerations arising in the context of variable annuity exchanges.

Download 06.13.07-FSI-June Web Conference for Broker Dealers

A Review of the New NASD Rules of Arbitration Procedure and Discovery Guide for Broker-Dealers

Speaker: Chad Weaver of 2007 FSI Law Firm Sponsor Edgerton & Weaver, LLP

Wednesday, May 23, 2007
1:00pm ET

Recent amendments to the NASD’s Code of Arbitration Procedure and Discovery Guide will have a significant impact on the securities industry dispute resolution process.  Get up to speed on these important changes and learn how to turn them to your advantage in this important web conference.

Download 05.23.07-FSI-May Web Conference

Selling Investment Products to Seniors for Broker-Dealers

Speakers:  Andy Davitt & Rachael Lukens of 2007 FSI Law Firm Sponsor Marshall, Dennehey, Warner, Coleman & Goggin

Wednesday, April 18, 2007
1:00pm ET

In recent years, the regulators have renewed the efforts to protect the nation's seniors from securities fraud.  Unfortunately, their zeal may cause unsuspecting broker-dealers to be caught up in time consuming regulatory inquiries and investigations.  This web conference will review how the regulators define "seniors," the regulatory scrutiny dedicated to "free meal" seminars and other common marketing efforts, limitations on the use of certain professional designations, and the impact of elder abuse statutes on the sale of securities products to seniors.

Download 04.18.07-FSI-April Web Conference for Broker Dealers

Managing Litigation Risks for Broker-Dealers

Speakers: Joseph A. Sack, Esq., The Sack Law Firm PLLC, Scott Silver of Blum & Silver, and Jeff Grubman

Thursday, March 15, 2007
1:00pm ET

Mr. Joe Sack, of 2007 FSI Law Firm Sponsor The Sack Law Firm PLLC, will discuss strategies for reducing your exposure to expensive and time consuming arbitration of customer complaints.  The session will also include a discussion of the effective use of mediation to reduce the costs of dispute resolution and methods for overcoming hurdles at trial.  Mr. Sack will be joined by experienced mediator, Jeff Grubman and claimant's attorney, Scott Silver to offer their unique perspectives on these issues.

Download 03.15.07-FSI-March Web Conference for Broker-Dealers

The Pension Protection Act: Opportunities and Challenges for Broker-Dealers

Speakers: Jason Roberts, attorney, Edgerton & Weaver, LLP and Louis S. Harvey, President, Dalbar, Inc.

Wednesday, January 10, 2007
1:00pm ET

Sweeping reforms contained in the recently enacted Pension Protection Act (the “Act”) will provide significant opportunities for investment advisers and new challenges for broker-dealers.  Advisers will have opportunities to build additional relationships and business, while broker-dealers will work to insure all are in compliance.  This web conference examines the requirements of the Act and provides some useful recommendations to ensure that broker-dealers remain compliant and are properly prepared to supervise their affiliated representatives.

The content of this presentation is focused on helping broker-dealer executives understand the new Pension Protection Act, how to leverage the business opportunities it presents, and protect the firm from the consequences of non-compliance.

Download 01.10.07-FSI-Pension Protection Act