The 2026 Broker-Dealer Training will be held June 3-5, 2026 at the Renaissance Orlando Resort and Spa in Orlando, Florida. Travel days for the training are Tuesday, June 2 and Friday, June 5, 2026.
This year’s program will touch on issues related to alternative investments, artificial intelligence, remote supervisory locations, and Regulation Best Interest. Other first day sessions will cover common deficiencies at small branch offices and conducting concurrent broker-dealer and investment advisory examinations. Panels geared to newer examiners will cover required books & records and mutual funds. Keynote speaker, Mark Zeigler, will discuss how emotional intelligence contributes to effective communication ensuring clarity in business interactions. And retired FBI agent Greg Coleman will be back this year to discuss effective interviewing techniques.
A case study on the training’s second day will guide in-person attendees through the chronology of an on-site examination, beginning with the pre-exam phase focused on reviewing background information and setting the exam scope. Participants will then move into the walkthrough/interview with firm personnel to understand operations, supervisory structures, and potential areas of concern. The next session addresses the review of books and records, followed by a post-exam segment that summarizes findings and outlines any necessary follow-up actions or reports.
The training will conclude on Friday with a presentation from the examiners who conducted an on-site broker-dealer branch examination after receiving a complaint that resulted in an enforcement action addressing the misappropriation of a vulnerable adult’s funds.
On The Checkout Page:
- If NASAA is funding your trip, enter the appropriate Promotional Code at checkout:
- If you are using a voucher: 2026Voucher
- If you are a speaker: 2026Speaker
- If you are committee funded: 2026Comm
- If you are receiving an award: 2026Awards
- Then click "Apply."
Hotel Information:
- Hotel and Registration Deadline: May 15, 2026
- Renaissance Orlando Resort - Disney Springs
- 1905 Hotel Plaza Boulevard | Lake Buena Vista | FL
- For reservations call: (877) 408-9661 or reserve your room online.
- The NASAA room rate of $179 plus taxes is available until May 15, 2026
Florida Office of Financial Regulation Staff Only:
- For reservations call: (877) 408-9661 or reserve your room online.
- The Florida room rate of $140 (tax-exempt) for Florida staff is available until May 15, 2026