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  • 03/13/2019 10:38 AM | Anonymous

    FSDA is a proud supporter of SIFMA’s Private Client Conference to be held April 10-12, 2019 in Naples, Florida. The conference brings together leaders from across private wealth management to examine the most topical issues facing the business.  

    FSDA will have a sponsor table which will connect FSDA’s brand to attendees and help build relationships with decision makers in the private-client markets with face-to-face networking opportunities. Attendees from past Private Client Conferences included leadership from the following firms: Broadridge Financial Solutions, Inc., Charles Schwab & Co., Inc., Deloitte, Dow Jones & Co Inc., Federated Investors, Fidelity Clearing & Custody Solutions, Hearsay Systems, IBM Corp, Merrill Lynch & Co. Inc., PwC, RBC Wealth Management, TD Ameritrade, Thomson Reuters, Vanguard and Wells Fargo.

    Please stop by FSDA's sponsor table and say hello if you are attending!

    For information on the conference, visit https://www.sifma.org/event/private-client-conference/#sponsor


  • 03/05/2019 5:28 PM | Anonymous

    Alex J. Sabo, the immediate past President of the FSDA, FSDA Corporate Member, and a Principal of Bressler, Amery & Ross, P.C., will appear on the radio program, “Dollars and Sense,” beginning at 5 p.m. on Wednesday, March 6, 2019.  “Dollars and Sense” is hosted by Laura Hawley, CEO of Allen and Company of Florida, Inc. and FSDA Corporate Member.

    If you are located near Central Florida you can hear the program on AM 1430 and FM 96.7.  If you are not located in Central Florida we will post a link once a recording of the program is posted on the radio station’s website.

    Mr. Sabo will discuss topics ranging from what the Federal Trade Commission warns is the latest fraud directed at seniors to the current status of vulnerable adults legislation pending in Florida. He also will provide information for seniors regarding the reporting of abuse, neglect or exploitation through the hotline maintained by the Florida Department of Children and Families Adult Protective Services and how to inquire about issues impacting seniors and their investments through the FINRA Securities Helpline for Seniors. 


  • 01/28/2019 6:24 PM | Anonymous

    On January 25, 2019, over 90 industry professionals visited the Raymond James Financial complex in St. Petersburg, Florida for a SIFMA/FSDA networking breakfast followed by two engaging panel discussions.  The first panel covered current regulatory issues, and was moderated by IRA Hammerman, Executive Vice President & General Counsel of SIFMA.  Mr. Hammerman’s esteemed panel included: Yvette Panetta, Deputy Director at FINRA, Caroline Holmes, Chief of the Bureau of Enforcement, Division of Securities, Florida Office of Financial Regulation and David Birnbaum, Managing Director of Business Development & Strategies for Bates Group LLC.  The regulatory panel covered topics including: current examination priorities and state regulatory initiatives.

    The second panel was moderated by Steven Greenbaum, Vice President and General Counsel of TradeStation Securities, Inc. and included: Roseann Chavanne, Co-CCO of Janney Montgomery Scott LLC, Olga Greenberg, a partner with Eversheds Sutherland (US) LLP, and Christopher Majeski, Senior VP and Head of Private Client Group Supervision for Raymond James Financial, Inc.  The supervision panel covered some important topics including: the use of big data, complex products, senior investor and vulnerable adult protection, business continuity plans, cybersecurity, and anti-money laundering.

    Attendees qualified for continuing education credits, and are able to share the valuable insights gleaned from the discussion with their respective firms.  The FSDA looks forward to continuing to work with the SIFMA C&L Society to help educate the securities industry on important regulatory developments and best practices.

                            

  • 01/19/2019 4:20 PM | Anonymous

    COMMISSIONER, OFFICE OF FINANCIAL REGULATION

    State of Florida position number 43004009

    The State of Florida is seeking to fill the position of the Commissioner of Financial Regulation.

    The Office of Financial Regulation is responsible for all activities of the Financial Services Commission relating to the regulation of banks, credit unions, other financial institutions, financial companies, and the securities industry. The Commissioner of Financial Regulation, appointed by the Financial Services Commission, serves as the head of the Office of Financial Regulation.

    In accordance with Florida Statute, the Commissioner must have had, within the previous 10 years, at least 5 years of responsible private sector experience working full time in areas within the subject matter jurisdiction of the Office of Financial Regulation or at least 5 years of experience as a senior examiner or other senior employee of a state or federal agency having regulatory responsibility over financial institutions, finance companies, or securities companies.

    The Commissioner will report to the Financial Services Commission, which is comprised of the Governor, Chief Financial Officer, Attorney General, and Commissioner of Agriculture. The Office of Financial Regulation is authorized to have 354 employees and has an annual budget of approximately $41 million.

    Salary Range:  Minimum $120,000; salary level will be determined commensurate with overall qualifications of the selected applicant.

    Benefits:  This is a Senior Management Service position and, as such, the State of Florida benefit program provides premium contributions for individual or family health insurance, life insurance and disability insurance.  Other benefits include a comprehensive retirement program, paid holidays, vacation and sick leave.

    Apply for this position online via the State of Florida Employment Site’s link by February 14, 2019.

    https://jobs.myflorida.com/job/ALACHUA-COMMISSIONER-OF-FINANCIAL-REGULATION-43004009-FL-32399/530848200/

    The State of Florida is an Equal Opportunity Employer/Affirmative Action Employer.


  • 10/29/2018 1:27 PM | Anonymous

    The law firm of Bressler, Amery & Ross, P.C., a FSDA member, today introduced an interactive, web-based 50 state survey of senior and vulnerable investor laws.  The survey provides a summary of each state’s financial exploitation statute and includes links to key state agencies and to required forms where applicable.  Bressler actively monitors legislative developments in this space and continuously updates the survey to reflect changes in the law.  The industry tool was unveiled by Bressler at the 2018 National Society of Compliance Professionals national conference in Atlanta, Georgia. The survey may be accessed at  https://www.bressler.com/senior-map.


  • 10/09/2018 10:42 AM | Anonymous

    FSDA’s Legislative Goals for 2019

    1. Continue efforts to achieve vulnerable adult legislation in the State of Florida and identify other legislative issues that may impact on the industry, investors and financial education

    2. Increase awareness of FSDA in the Florida Legislature

    3. Engage Legislators on industry issues

    4. Continue to promote industry message throughout Florida


  • 06/11/2018 11:04 AM | Anonymous

    The State of Florida Seeks New Commissioner of Financial Regulation
    With the resignation of the prior commissioner, the State of Florida is conducting an expedited process to find a successor. Interested persons my apply by using this link: https://jobs.myflorida.com/…/TALLAHASSEE-COMMISS…/483695300/. The application period ends on June 22, 2018.
     

  • 06/06/2018 11:03 AM | Anonymous

    Join FSDA and other industry leaders, June 6-8 in Orlando, Florida at INSITE2018. Discover what’s trending as INSITE changes with the evolving landscape of the industry.  INSITE provides access to over 2,000 success-minded advisors and 500 strategic providers in the Exhibit Hall.  Hear from over 90 inspiring and thought-provoking speakers to gain new perspectives and tools.  Learn the latest industry trends and solutions tailored to you and your business. 
    To check out what is happening at INSITE 2018 click here.  

  • 04/14/2018 11:01 AM | Anonymous


    FSDA is proud to support FAU’s Center for Economic Education’s Teach Children to Save Day. The program matches financial professionals who will volunteer at elementary schools in Palm Beach County in order to teach the important life’s lesson of saving and be able to provide insights into the somewhat daunting world of financial services.
     
    FSDA is supporting this value-added initiative for the third consecutive year. This is a terrific opportunity for the securities industry to not only educate children, but to also show goodwill and to network with teachers in our community.
     
    Help make this program a huge success by doing two things: (1) volunteer and teach; and (2) get the “word out” to help recruit volunteers from your firm, whether from sales, compliance, legal, or other departments who might be interested in volunteering.  
     
    The volunteer process couldn’t be easier, with minimal time commitment:

    • During the week of April 23, FAU will train volunteers on the class lesson. If you can’t make the in-person training, no worries. Register anyway and FAU will coordinate an alternative way to prepare you for the lesson. 
    • During the week of May 14, volunteers will teach the lesson at their assigned schools.
    Simple, fun and impactful! Click here for more details. 


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