FINRA Small Firm Conference Series

Chicago, IL September 23, 2008

Registration now open.

Overview

The FINRA Small Firm Conference Series is designed to address regulatory requirements and compliance practices from a small firm perspective. Workshops facilitate interaction with regulators and industry peers. Topics typically include supervision and supervisory controls, anti-money laundering regulation and cycle exam focus and findings.

After attending this conference, you will be able to:

• Evaluate current FINRA exam priorities, including senior investors, deferred variable annuities (NASD Rule 2821) and sales of new products
• Apply current practices to prepare for a FINRA cycle examination
• Prepare and submit an application for continuing membership (CMA), and describe the circumstances under which a CMA is required
• Compare and contrast NASD Rules 3010, 3012 and 3013
• Review common deficiencies in firm supervisory systems and know when and how to update your firm's written supervisory procedures
• Contrast the roles and responsibilities of the compliance officer and supervisor and characterize inherent challenges in these roles
• Review anti-money laundering rules and regulations, and apply industry practices to your firm's AML program
• Discuss current and emerging issues relevant to the small firm brokerage community

Ask FINRA Staff
FINRA staff members answer your specific questions at the conference's Ask FINRA Staff session. You may email your questions in advance or submit them during the conference.

Agenda: September 23

8:00 a.m. - 9:00 a.m.	Registration and Continental Breakfast
9:00 a.m. - 9:15 a.m.	Welcome
9:15 a.m. - 10:45 a.m.	Examinations and Continuing Membership Applications Preparing for regulatory examinations Common exam findings Continuing Membership Applications Customer complaints Compliance tools and resources
10:45 a.m. - 11:00 a.m.	Break
11:00 a.m. - 12:30 p.m.	Supervision Relationship among 3010, 3012, 3013 Written supervisory procedures Heightened supervision Outside business activities Electronic recordkeeping Seniors aspect
12:30 p.m. - 1:30 p.m.	Lunch
1:30 p.m. - 2:30 p.m.	Ask FINRA Staff
2:30 p.m. - 2:45 p.m.	Break
2:45 p.m. - 4:15 p.m.	Anti-Money Laundering Brief rule overview Developing a risk-based program Customer due diligence Suspicious activity reporting AML independent testing Training

Hotel Information

September 23, 2008
FINRA Small Firm Conference will be held at:

Hyatt Regency Chicago
151 E Wacker Drive
Chicago, IL 60601

Phone: (312) 565-1234
Fax: (312) 239-4414
Reference: FINRA Small Firm Conference
Web: www.chicagoregency.hyatt.com

A room block is available at the Hyatt Regency Chicago at the special rate of $299 per night, plus tax. This rate is available until September 2, 2008, or until the room block is sold out. After September 2, 2008, hotel reservations will be accepted on a rate- and space-available basis. Hotel reservations, cancellations, and charges are the responsibility of the attendee. To reserve a room, please call (312) 565-1234 or (888) 421-1442 and ask for the FINRA Small Firm Conference rate.

Registration & Fees

Discounted registration rates end September 2, 2008, for the conference in Chicago.

	Early Registration Rates BEFORE or ON Sept. 2	Regular Registration Rates AFTER Sept. 2
Member	$450	$550
Non-Member	$900	$1,100

How to Register

Online	Online registration is for credit card transactions ONLY. To register using this method, complete the online registration form.
Mail	Print out and complete the downloadable registration form and send payment and form to the address below with a check made payable to FINRA: FINRA Conference Registration Attn: FINRA Small Firm Conference P.O. Box 7777-W8440 Philadelphia, PA 19175-8440
Fax	Fax registration is for credit card transactions ONLY. Fax the completed downloadable registration form to FINRA at (202) 728-6956.
Phone	Registration over the phone is for credit card transactions ONLY. (212) 858-4119

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. Registrations without payment are considered incomplete and therefore are not processed.

Registration may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes do not accept courier or overnight deliveries. Early-bird registration fees will be granted to all registrations postmarked on or before September 2, 2008.

You will receive an email confirmation of your registration within two weeks of receipt of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conferences sell out or in the unlikely event that changes to the conference dates and/or locations become necessary.

CPE/CLE Credit
CPE and CLE credit is available for the FINRA Small Firm Conferences. Please indicate on the registration form whether you request CPE or CLE credit. CPE course level: Overview

Cancellation Policy
Refunds for registration, less a $75 processing fee, will be granted for written requests received 14 days or more prior to the start date of the conference. We regret that refunds will not be available after September 9, 2008.

Questions, Comments or Complaints
If you have questions or comments about these conferences, or would like information about administrative policies such as reporting or resolving a complaint about conferences, please call (212) 858-4119 or email.