Join us for a special Q & A on Clearing


Greetings from Broker Dealer Exchange!

Over the last year we have covered many issues facing small firms when it comes to clearing their stock certificates. We have been invited to speak at the Financial Services Exchanges quarterly meeting, which is in Coconut Creek Florida on October 27th through the 29th. The purpose of the forum is to take some of the mystery out of clearing and to help brokers and their firms understand ways they can make the process better. On a daily basis we are inundated with requests from distraught firms who are being squeezed out of business by their clearing firm. The ability to clear stock certificates has been severely limited for most firms and even the firms that still accept certificates are charging so many fees that its no longer worth it. Join BD Exchange CEO John Busacca and Securities Attorney Rick Nummi as they examine the current clearing crisis and provide answers and solutions to many of today’s problems. Space will be limited to registered attendees and space will be limited. If you would like to register you may click on the registration link below or contact

The Topics covered will include:
• The real reason behind the Clearing Firm exodus from cert business
• The true costs of clearing a single certificate
• Five things you can do to get your clearing firm to take certain certs
• Alternatives to certificates

John Busacca has been in the clearing game for over 15 years and has worked nearly every facet of clearing. As a former owner of a Clearing firm he provides a bird’s eye view of what your clearing firm is thinking these days and will provide some solutions for you to today’s complicated problems. Currently BD Exchange engages in consulting services to several self clearing firms and is currently helping several more take the steps to go self clearing.

Rick Nummi is a Former Senior Attorney with the United States Securities and Exchange Commission with expertise in Enforcement and Regulatory Defense and Compliance. He is a nationally recognized authority in securities law, regulation and compliance, a featured speaker/educator at multiple industry (NRS/NSCP/NASD/SEC) trade conferences and presentations. He is also an experienced executive with a strong track record of helping registered representatives and broker-dealers succeed in a highly regulated industry.

Please register now to reserve your spot as space will be limited


John Busacca