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NIBA Press Releases

July 22, 2011 – ATHENS, GA. – (MARKETWIRE) – The National Investment Banking Association (NIBA) today announced the appointment of new Chairpersons to its Board of Directors and Committees who will provide leadership to the organization. Read more…

June 27, 2011 – ATHENS, GA – The National Investment Banking Association (NIBA) today announced that it will showcase emerging industry leaders at the 119th Investment Conference to be held at the Omni Parker House Hotel in Boston on August 17-19, 2011.  Read more…

May 31, 2011 – ATHENS, GA – The National Investment Banking Association (NIBA) today announced that Stephen R. Gross, CPA and Founding Organizer of HLB Gross Collins, P.C. will be Guest Speaker and Moderator at the upcoming June 15-17 Conference in Atlanta, GA. Read more…

February 10, 2011 – ATHENS, GA. – (BUSINESS WIRE) – The National Investment Banking Association(NIBA) today announced that it will host its “Land of Opportunity Conference” at The Westin Beach Resort & Spa in Fort Lauderdale, Florida on March 2-4, 2011. “NIBA’s “Land of Opportunities Conference” will feature: Opportunities for knowledge regarding current regulatory issues from the experts, including 5122; Opportunities for networking with the industries best boutique investment bankers, fund managers, small issuer service providers and others; Opportunities to interact with quality emerging companies and Opportunities to enhance your business”, stated Emily Foshee, NIBA Executive Director. Read more…

January 4, 2011 – ATHENS, Ga. – (BUSINESS WIRE) – The National Investment Banking Association (NIBA) today announced the appointment of new officers and the election of three new members to its rotating nine-member Board of Directors which will provide leadership to the organization for the 2011 calendar year.  Key officer appointments include returning board member Jeffrey M. Johnson of Atlanta being elected to serve as the new Chairman of the Board, and James Hock of Hanover International, Inc. being named Secretary/Treasurer. Read more…

December 6, 2010 – Perdido Key, Florida (MMD WIRE) – Michael Fugler was a featured speaker and panel moderator at the National Investment Banking Association (NIBA) Conference in Las Vegas, Nevada to discuss “Time Bombs in Recent Legislation (Dodd-Frank and more)” and present the Association’s new conference forum structure to its membership.

Mr. Fugler told the well-attended session, “The financial services industry has experienced a year of unprecedented events and trends but public awareness of Financial Services is at an all time high and NIBA is primed to help redevelop how the capital markets will influence this multi-billion dollar consumer-driven industry.” Mr. Fugler went on to outline a broad view of the financial market’s strengths and vulnerabilities and stated, “Moving forward NIBA’s future conferences will feature prominent industry leaders, influential lawmakers and regulators as well as established representatives from the investment community making it the Association capable of focusing on exclusive industry networking opportunities and the financial service industry’s rejuvenation.” Read more…

November 8, 2010 – ATHENS, Ga. –  (BUSINESS WIRE) – The National Investment Banking Association (NIBA) today announced Kenneth Kamen, author of Reclaim Your Nest Egg: Take Control of Your Financial Future and President of Mercadien Asset Management as the event’s keynote speaker, addressing all conference attendees during a lunch presentation on Thursday, November 18.  Read more…

October 14, 2010 – ATHENS, Ga. –  (BUSINESS WIRE) – The National Investment Banking Association (NIBA) will host its 116^th Investment Conference at Caesars Palace Hotel  in Las Vegas, Nevada on November 17-19, 2010.  Read more…

August, 24, 2010 – ATHENS, Ga. – (BUSINESS WIRE) – The National Investment Banking Association (NIBA) today issued a confirmed list of companies scheduled to present at the 115^th Investment Conference to be held at the Gaylord Texan Hotel in Dallas, Texas on August 25-27, 2010.  Registered attendees will be treated to a luncheon panel discussion on Thursday, August 26, 2010, titled “Current & Future Observations on the Micro/Small-Cap Marketplace.” The panel, moderated by Ed Crumm of BKD, LLP, will feature panelists Russell Cleveland of Renn Capital Group, Wilson Jaeggli of Southwell Partners and Joe Mannes of Halter Global Opportunity Fund.  Read more…

Industry News

September 13, 2011 – Hearing on Appropriate Regulatory Oversight of Broker-Dealers
The House Subcommittee held a hearing last Tuesday, September 13 on “Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight.” The witnesses included representatives from the Financial Industry Regulatory Authority (FINRA), state securities regulators, trade groups for advisers, securities brokers and insurance brokers, the SIFMA brokerage association, and a consumer advocate.  Read more…

July 27, 2011 – Senate Banking Committee Assesses Dodd-Frank Act On Its One Year Anniversary
On the first anniversary of the enactment of the Dodd-Frank financial reform law, the Senate Banking Committee held a hearing on “Enhanced Oversight After the Financial Crisis: The Wall Street Reform Act After One Year.”

The hearing began with sharp critique of the Dodd-Frank Act by Ranking Member Shelby, followed by a brief and frequently humorous appearance by Ranking Member Frank, who took exception to Shelby’s description of the legislative process that produced the financial reform bill. Frank then touched upon a few specific issues the law addresses, such as risk retention for mortgage securitizers and position limits for commodity speculators. Frank ended by discussing the post-GSE landscape for housing finance, which was not included in the Act, suggesting House Republicans had been unable to agree among themselves on how to proceed.

After the panel of financial regulators gave their statements, topics raised during the question period included: the law’s impact on smaller banks; the Fed’s methods for assessing the costs and benefits of its rules; CFTC regulation of systemically important firms and clearinghouses; whether House appropriators have adequately funded the SEC and CFTC; swaps margin rules for foreign subsidiaries of U.S. banks; Sen. Menendez’s efforts to get banks to release documents related to the ongoing mortgage servicer settlement negotiations; accounting rules for municipal debt issuers; and whether the fact that assets have become further concentrated among the largest U.S. banks means that Dodd-Frank has not ended the “too big to fail” perception. For full hearing coverage, please click here. (Submitted by Michael Fugler)

July 27, 2011 – Surprise! U.S. Chamber takes swipe at Finra
The nation’s largest business organization wants Finra and other self-regulatory organizations to be more transparent and accountable for their actions.

In a report released July 22, 2011 the U.S. Chamber of Commerce said that the Dodd-Frank financial reform law failed to address problems at the Financial Industry Regulatory Authority Inc. and other SROs. Click here to view full article (login may be required).

July 13, 2011 – NIBA Webinar: Social Media Compliance
1:30 pm ET, 12:30 pm CT, 11:30 am MT, 10:30 am PT
Register now!

This webinar will discuss how you can use social media while protecting you and your firm from enforcement actions, fines and reputational risks. Learn:

• The importance of social media to the financial services industry
• Regulatory Notice 10-06 emphasizing personal responsibility
• Find details on record retention of communications as required by Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 and Rule 3110
• Discover how your comments could trigger suitability issues
• How to comply with the SEC and FINRA regulations impacted by social networks
• Proper record keeping and communication regarding advertising

Moderator:
Michael Fugler, ASG Securities
Michael Fugler currently serves on the Board of ASG Securities and as Head of Global Capital Markets for Welcome Life Financial Group. He manages the strategic vision and direction for offering institutional clients trading, project development, capital raising and independent objective advice. Fugler has been a licensed attorney for 38 years with an expertise in international law and finance, international investment and merchant banking. He has also been an investment banker for the past 16 of those years being FINRA registered with Series 7, 24, 63 and 79 licenses and establishing offices in and providing extensive consulting and guidance to institutional investors throughout Europe and the USA.

Panelists:
Davis Janowski, Investment News
For the last four years, Davis Janowski has served as the technology reporter for Investment News. In this position, he works to meet the technology information needs of financial advisers throughout the nation. His beat focuses on covering the key software and online services in the financial services sector, as well as the latest in computer and mobile hardware technology available for financial advisers. Prior to this, Janowski covered many facets of technology for the nation’s leading computer publication, PC Magazine. In his last two years there, he served as lead analyst for web services and software and had the pleasure and daily challenge of keeping up with and reviewing the online services produced by Google, Microsoft, Yahoo! and many others. Prior to PC Magazine, he served as a medical editor and writer covering the field of epidemiology and infectious diseases where my work was disseminated to both a professional and lay audience.

Amy Sochard, FINRA
Amy Sochard is director of programs and investigations for FINRA’s Advertising Regulation Department. She manages the department’s investigative, sweep and technology activities and serves as a liaison to other FINRA departments involved in these areas. Sochard also oversees staff dedicated to the routine review of FINRA firms’ advertisements. She speaks frequently at industry conferences and helps develop new rules and interpretations with respect to firms’ communications with the public. Prior to joining FINRA, she worked with a real estate syndication firum. She earned a bachelor’s degree in English with distinction from the University of Virginia and studied poetry writing at Columbia University.

January 21, 2011 – FINRA requests comments on a proposal to amend FINRA Rule 5122

Click here to read the email alert to NIBA Membership

Click here to read the FINRA Notice

December 23, 2010 – Current Events that will have an Impact on our Industry: The Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010 (H.R. 4853)

Click here to read the email alert to NIBA Membership

Member News

November 2, 2010 – Dubai, UAE – (MMD NEWSWIRE) – Marcus Evans is delighted to announce that Michael Fugler will be chairing and speaking at its Credit Risk MENA Conference (Measurement, Management and Mitigation of Credit Risk in MENA) on November 29 and 30 in Dubai, UAE.  Read more…