Discussion Leaders

David D. Spaulding, DPS, CIPM

New SEC Marketing Rules

John D. Simpson, CIPM

Reporting Performance Attribution

Michael Margulis

CHALLENGES WITH OVERSEEING ADVISORS' PERFORMANCE

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

The Spaulding Group

Slide Deck

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

Slide Deck

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

The Spaulding Group

Slide Deck

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

Omni San Diego Hotel

675 L Street

San Diego, CA 92101

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