Advertising Regulation Conference

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October 9–10, 2014
Renaissance Washington, DC Downtown Hotel
999 Ninth Street, NW
Washington, DC 20001


FINRA's annual Advertising Regulation Conference provides practical guidance on complying with advertising rules and regulations for communications with the public.



  • Current regulatory developments in securities advertising
  • Interactive, hands-on workshops
  • Office hours with FINRA Advertising Regulation analysts
  • CLE and CPE credits available


View the conference brochure, which includes the agenda and session descriptions. Register early for reduced in-person rates.



New This Year: Two Ways to Participate


Attend In-Person

Attend the conference in person and take advantage of on-site opportunities to connect with industry peers and regulators and meet on-on-one with FINRA staff.


Participate via Live Broadcast

Those who can't attend the conference in person can participate via live broadcast streamed over the Internet. All sessions will be video or audio broadcast live. And since recordings will be made available after the conference, participants can catch up on any sessions they missed. Online participants receive access to all conference materials, and can ask questions.



Registration & Fees


Discounted Registration Rates Before or On September 17, 2014

Regular Registration Rates After September 17, 2014







Group Rate (Per Person)*










* In order to receive the group discount you must register three or more people from the same firm by selecting “Add Person” when registering online. The same credit card must be used as payment method for all the registrants. To pay by check, download the single user registration form or the group registration form and mail it along with full payment.


Register for the Live Broadcast >

Single-Viewer License Fees

Multi-Viewer License Fees








$ 525




How to Register

To register, complete the online registration form. Online registration closes on October 8, 2014 or until sold out. If you experience difficulties registering, please call (202) 728-8131 or send us an email.


Conference registration is limited and available on a first-come, first-served basis. You will receive an email confirming your registration. Please make sure your registration has been confirmed prior to booking travel for and arriving 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 conference sell out or in the unlikely event that the conference dates and/or locations change.



Continuing Education Credit

Upon completion of the conference, participants may be eligible to receive continuing education credits.



In-person attendance: As many as nine CLE credits may be available depending upon the number of conference hours attended and the state in which credit is sought. While FINRA processes CLE applications on behalf of conference attendees, attendees are responsible for complying with all rules and regulations governing the jurisdictions in which they seek credit.


Live video broadcast: CLE credit is not available for the live broadcast or on-demand recordings.



In-person attendance: Conference attendees may receive up to nine CPE credits. Delivery method: Group – Live. Program level: Overview. No prerequisites or advance preparation required.


Live video broadcast: CPE credit is not available for the live broadcast or on-demand recordings.



Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program may receive nine CRCP CE credits for attending the conference. Alumni should self-report their credits upon conclusion of the conference by visiting the Alumni Information Web page.



Hotel Information

Register for the conference and confirm your hotel reservations early, as space is limited.


The Advertising Regulation Conference will take place at:

Renaissance Washington, DC Downtown Hotel
999 Ninth Street, NW
Washington, DC 20001
Phone: (202) 898-9000
Toll free: (800) 228-9290
Online Reservations


A room block is available at the Renaissance Washington, DC Downtown Hotel at the special rate of $289.00 per night, plus tax. This rate will be available until Wednesday, September 17 or until the room block or the hotel is sold out, whichever occurs first. After that point, hotel reservations will be accepted on a space- and rate-available basis. Hotel reservations, cancellations and charges are the attendee’s responsibility.


To reserve a room, please register online or call the Renaissance Washington, DC Downtown Hotel at (800) 228-9290 and identify yourself as an attendee of FINRA's Advertising Regulation Conference.


Additional Hotel:

An overflow block is available at the Embassy Suites, Washington, DC Convention Center Hotel, located at 900 10th Street, NW, Washington, DC at the rate of $269 per night, plus tax. This rate is available until September 26, 2014, or until the room block is sold out, whichever comes first. To reserve a room call (202) 739-2001 and identify yourself as a 2014 FINRA Advertising Regulation Conference attendee.



Cancellation Policy

Full refunds for registration, less a $100 processing fee, will be granted to written requests received 14 days or more prior to the start date of the program. No refunds will be granted after September 25, 2014.



Contact Information

For more information or concerns, please call (202) 728-8131 or email.



Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 to request a conference exhibitor package. (Please provide complete contact information in your message.)


Only the FINRA Annual Conference is open to journalists. All other FINRA conferences, webinars, compliance boot camps, phone-in workshops and FINRA Institute at Wharton are closed to journalists.

Last Updated: 6/20/2014