Webcasts
- Our Webcasts provide members and non-members tremendous insight into the industry from the comfort of their own home or office!
Playback: State of the States: Insight into the current regulatory environment for 3PMs
June 29, 2011 at 12:00 p.m. EDT, The 3PM Strategy Committee has been working on a project to identify the specific rules and regulations that apply to Third Party Marketers who want to work in certain States. While SEC Rule 206-5-4 applies to all activities across the country, many States have enacted additional regulations that apply to 3PMs working with the Public Pension Funds in their jurisdiction. Some States now require registration as a Lobbyist, others ban the use of contingency fees while other have instituted an outright ban on 3PMs working with any public pension plans in their State. The State of the States webcast, which was the first in a series, will help 3PMs sort all of this out. Presenters explained what 3PMs can expect when working in NY, CA, IL, KY, OH and NM. Panelists include: Frank Minard, Lisa Roth, and Charlie Bartz.
Full playback of webinar is available at no cost to members in the Members Area of the website. Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.
Playback: Alternative Emerging Managers: Finding Success In Today's Marketplace
September 22, 2009 at 12:00 p.m. EDT, Alternative Emerging Managers: Finding Success in Today’s Marketplace, sponsored by Capital Z and Venable, LLP and moderated by Stephan Nicoleau, Managing Partner at Critical Value Advisors. Panelists include: Rory Cohen, Venable LLP, John Massy, Capital Z Asset Management and Michael Scanlon from HedgeCo. Find their Biographies here!
Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.
January 29, 2009 at 12:00 p.m. EDT, a joint webcast between 3PM and NAIBD - sponsored by Kinetic Partners.
Presenters are Micah Taylor, who works in Compliance for Kinetic Partners; Lisa Roth, NAIBD Chair; Donna DiMaria, 3PM President, and Stacy Havener, 3PM Secretary and Events Co-Chair. Download full agenda now. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.
September 17, 2007 at 1:00 p.m. EDT, a 3PM-sponsored webcast.
Presenters are Joseph P. Borg, Director of the Alabama Securities Commission and President of the North American Securities Administrators Association (NASAA); Rex A. Staples, General Counsel of NASAA; and Tanya Solov, Director of the Illinois Securities Department and Vice Chairman of the Broker/Dealer Section of NASAA. The presenters explain the role of state securities regulators, how the NASAA differs from the NASD and SEC, how 3PM firms can work with state regulators and the current "hot" exam topics for state regulators. Download full agenda now. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $50.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon to the right of the title above.
June 25, 2007, 1:00 p.m. EDT, a 3PM-sponsored webcast.
Presenters of this webcast are Dan Beaton and Ken George from FINOP and Compliance Services, who reviewed a number of specific requirements that directly pertain to 3PMs. In addition, several of the NASD's proposed rule changes that will affect 3PMs with broker/dealers (full agenda) will be discussed. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $50.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon to the right of the title above.
