Event Chairman
Patricia E. Flynn, CSCP, INTECH

ADMISSION NOTICE
Except where noted as “OPEN,” all workshops are closed to Regulators and members of the press.

CE CREDITS
NSCP National Meetings offer CLE credits in connection with most U.S. certifying organizations. This program, which covers 62 subjects, may also qualify for CFP credit or the Firm Element of your SRO Continuing Education Program.

SUNDAY NIGHT
EARLY ATTENDEE REGISTRATION: 8:00PM - 9:30PM
Don’t wait in line on Monday morning!

MONDAY NIGHT
A beer and wine reception will immediately follow the last workshop of the day.

NSCP’S ANNUAL DINE AROUND
Network with other broker-dealers, investment advisers and hedge fund managers in a casual atmosphere at one of Baltimore’s finer restaurants. Pre-registration and pre-payment is required for the Dine Around. Information and details will be posted on www.nscpmeetings.com as details are finalized.

TUESDAY LUNCHEON
Featuring NSCP’s annual business meeting + introductions of NSCP’s newest Board Members.

TUESDAY NIGHT
A co-sponsored beer and wine reception will immediately follow the last workshop of the day.

MONDAY LUNCH
Interview with Erin Arvedlund, author of Too Good to be True: The Rise and Fall of Bernie Madoff, will be moderated by David Lui, FAF Advisors / First American Funds (from 1:30pm to 2:15pm).

TUESDAY GENERAL SESSION
“A Job Description for the Compliance Officer” with Lori Richards of PricewaterhouseCoopers LLP and Richard D. Marshall of Ropes & Gray LLP.

WEDNESDAY GENERAL SESSION
The goal of this panel is to connect the dots of regulatory reform and describe for you how it will affect your life. We have brought together some of the best known lawyers and senior compliance officials in the country--people who have been there and done that--to give you practical advice to help you plan your firm’s compliance program under the new laws.

PLANES, TRAINS + AUTOMOBILES

Find what you're looking for at the official tourism site for Baltimore! Baltimore's Inner Harbor is home to many tasty restaurants, unique shopping, famous museums, live entertainment, local pubs and taverns. And, of course, for all your transportation needs, please visit the official site link at http://baltimore.org/transportation.

Amtrak offers a 10% discount off the lowest available rail fare to Baltimore, MD (BAL) between October 29, 2010 and November 6, 2010. To book your reservations, please call Amtrak at (800) 872-7245 or contact your travel professional. Please refer to Fare Code X81D-910 to receive the 10% discount. The convention discount fare cannot be booked via Amtrak.com. This offer is not valid on Acela Express service or on the Amtrak Auto Train. Offer is valid with Sleeper accommodations, Business Class or First Class seating with payment of the full applicable accommodation charges. Fare is valid on Amtrak Northeast Regional service for all departures seven days a week, except during holiday blackout dates.

DRESS CODE is business casual. Because meeting room temperatures will vary, please dress casually, in layers, to assure personal comfort.
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Definitions:
Definition of IA Small Firm: Fewer than 50 staff overall, with only one or two folks serving in the compliance function.

Definition of BD Small Firm (per FINRA’s definition): “Any broker or dealer admitted to membership in the Corporation which, at the time of determination, has at least 1 and no more than 150 registered persons.”

Labs: These working sessions provide attendees with an opportunity to apply their knowledge in a guided, interactive environment, with applicable examples, scenarios, and case studies. Lab facilitators provide feedback, guide discussion and encourage sharing of best practices.

Roundtables: Intimate conversations with no more than 20 people, led by an experienced moderator. Topics of discussion will be determined by participants. Registration is on a first-come basis. Participants will be polled for discussion points six weeks out. CE credits do NOT apply.