Discussion Leaders
Inaugural Meeting of The Broker Dealer Symposium
Wednesday, November 16, 2022
8:45 – 9:00 A.M.
CONTINENTAL BREAKFAST/WELCOME
9:00 – 10:45 A.M.
MEMBER INTRODUCTIONS AND “AROUND THE HORN”
10:45 – 11:00 A.M.
MORNING BREAK
11:00 – 12:00 P.M.
PERFORMANCE ATTRIBUTION REPORTING:
WHAT ARE FIRMS OFFERING TO THEIR CLIENTS
John D. Simpson, CIPM
TSG
12:00 – 1:00 P.M.
LUNCHEON
1:00 – 2:00 P.M.
OPEN DISCUSSION: MEMBER CHALLENGES & QUESTIONS
2:00 – 3:00 P.M.
CHALLENGES WITH OVERSEEING ADVISORS’ PERFORMANCE
Michael Margulis
Ameriprise Financial
3:00 – 3:15 P.M.
AFTERNOON BREAK
3:15 – 4:15 P.M.
NEW SEC MARKETING RULE: WHAT TO BE PREPARED FOR
David D. Spaulding, DPS, CIPM
TSG
4:15 – 5:00 P.M.
OPEN DISCUSSION: MEMBER CHALLENGES & QUESTIONS
5:00 P.M.
END OF DAY WRAP-UP
November 16, 2022
Wednesday
9:00 AM – 5:00 PM PT
LOCATION
675 L Street
San Diego, CA 92101