FSI Advocacy Summit/National Discussions

Monday, July 8, 2013

12:00 p.m. – 5:00 p.m.

Registration

Compliance Council Meeting
(current Compliance Council Members only)

Operations & Technology Council Meeting
(current Operations & Technology Council Members only)

3:00 p.m. – 5:00 p.m.

Investment Advisory Services Council Meeting
(current IAS Council members only)
Marketing, Growth, & Development Council Meeting
(current Marketing Council members only)

Tuesday, July 9, 2013

7:00 a.m. – 6:00 p.m.

Registration

8:00 a.m. – 12:00 p.m.

Discussion Meetings

• CEO Discussion – The CEO Discussion brings broker-dealer senior executives together with their peers to share information, have in-depth discussions on important current topics, and create ongoing dialogue and networking. Open to broker-dealer Presidents and CEOs only.

• Compliance Discussion – Hear from your broker-dealer compliance colleagues about managing and overcoming the hurdles of an increasingly complex regulatory environment. You’ll go home with new ideas you can implement right away.

• Investment Advisory Services  - Discussion – Broker-Dealer industry professionals engage in a meaningful discussion of the skills, strategies, and knowledge needed to succeed in the business of wealth management. Exchange views and share ideas with your colleagues on the timely issues facing investment advisors in today’s competitive and complex business environment.

• Operations/Technology Discussion – This section will have a separate and focused discussion group addressing its own specific issues and challenges. Join other operations and technology executives and managers to share ideas and exchange views on all aspects of independent broker-dealers operations.

12 Noon – 1:30 p.m.

Full Group Lunch – Issues Briefing for Hill Visits

1:30 -2:30 p.m.

General Session

Phyllis Borzi, Assistant Secretary for the Employee Benefits Security Administration at the U.S. Department of Labor (DOL). Ms. Borzi is in charge of the DOL’s effort to redefine the term “fiduciary” – a pending rule that could ban advisors from earning a commission on IRA advice. During this time, FSI President & CEO Dale Brown will ask her questions submitted by our members on the fiduciary rule and other pressing issues. In the next few weeks, we will be reaching out to you to submit questions for Dale to ask.

3:00 – 6:00 p.m.

Training for Capitol Hill Visits

6:00 – 7:00 p.m.

Reception

Dinner on Your Own or Optional Dine Arounds

Wednesday, July 10, 2013

7:00 - 9:00 a.m.

Registration

7:30 - 9:00 a.m.

Breakfast - Capitol Hill Instructions

9:00 a.m.

Board Buses for Capitol Hill

10:00 a.m. - 5:00 p.m.

Meetings on Capitol Hill – visit your members of Congress on Capitol Hill

4:30 – 6:00 p.m.

Reception on Capitol Hill

Departures to Airport or back to Hotel