Advertising Regulation Conference
October 21–22, 2009 • Washington, DC
Just announced: Several sessions will address the proposed new rules governing communications with the public as outlined in FINRA Regulatory Notice 09-55.
FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with the advertising rules and regulations for communications with the public. Workshops address advertising issues involving mutual funds, variable insurance products, alternative investments and options, as well as the issues raised by seminars and electronic communications. Other topics include filing, approval, recordkeeping and supervision requirements for retail and institutional communications.
Highlights
- Information about proposed modernization of advertising rules
- The latest regulatory developments in securities advertising
- Practical, hands-on workshops
- Participate in a demo of AREF, the Advertising Regulation Electronic Files system
Meet with Staff: Meet one-on-one with FINRA’s Advertising Regulation staff during designated office hours. You may ask specific questions and have in-depth discussions about any issues that are raised during the conference. The office hours schedule will be published as part of the conference materials you receive onsite.
View Conference Materials Online: As a conference attendee, you have access to view conference materials both before and after the conference via a Web-based format; FINRA also provides hardcopy materials. Materials are posted to the Web approximately one week before the conference. FINRA will email all registrants a non-public Internet address once the Web site is live. Therefore, please provide a complete and accurate email address when you register.
Attendees are invited to submit questions in advance to help shape session content. Email questions by Friday, October 9.
Register for the conference and confirm your hotel reservations early, as space is limited. Discounted registration and hotel rates are available until October 2, 2009.
| Tuesday, October 20 | |
| 5:00 p.m. – 7:00 p.m. | Registration |
| Wednesday, October 21 | |
| 7:30 a.m. – 9:00 a.m. | Registration and Continental Breakfast |
| 9:00 a.m. – 10:30 a.m. | General Session – Emerging Issues |
| 10:30 a.m. – 11:00 a.m. | Break |
| 11:00 a.m. – 12:30 p.m. |
Concurrent Sessions I
|
| 12:30 p.m. – 2:00 p.m. | Lunch |
| 2:00 p.m. – 3:30 p.m. |
Concurrent Sessions II
|
| 3:30 p.m. – 3:45 p.m. | Break |
| 3:45 p.m. – 5:00 p.m. |
Concurrent Sessions III
|
| 5:00 p.m. – 6:30 p.m. | Reception |
| Thursday, October 22 | |
| 7:00 a.m. – 8:30 a.m. | Continental Breakfast |
| 8:30 a.m. – 9:45 a.m. |
Concurrent Sessions IV
|
| 9:45 a.m. – 10:00 a.m. | Break |
| 10:00 a.m. – 11:15 a.m. |
Concurrent Sessions V
|
| 11:15 a.m. – 11:30 a.m. | Break |
| 11:30 a.m. – 12:45 p.m. |
Concurrent Sessions VI
|
Workshop Descriptions
Advertising Review Workshop
Apply the various advertising rules to several mock advertisements and uncover the hidden violations in this highly interactive and dynamic session. Work in small groups and present your findings to the other workshop attendees. Moderators present the regulatory perspective, clarify any misperceptions and answer questions.
Alternative Investments
Join FINRA staff and an industry expert for an in-depth look at the unique communication challenges presented by hedge funds, REITs, TICs and more.
Case Studies
Panelists share examples of recent disciplinary actions involving communications with the public. Presenters focus on identifying red flags and offer suggestions to help you avoid similar problems.
Electronic Communications
FINRA staff and an industry expert address how the advertising rules apply to electronic communications, and provide practical guidance on how to monitor and supervise Web sites, email, blogs and social networking sites.
Emerging Issues
Panelists discuss recent regulatory developments, including proposed and new rules pertaining to communications with the public.
General Brokerage Products
This session covers the advertising issues associated with non-investment company securities and products offered by the general brokerage community. Topics include fixed income products, research reports, account statements, recruitment advertisements and the new rule amendments relating to options. Panelists also provide guidance with respect to reviewing, approving and supervising seminars, including concerns related to retirement planning presentations, outside business activities and professional designations.
Mutual Funds – Essentials
This workshop is for those who want an overview of advertising rules—including the rankings guidelines and SEC standards—and want to hear about recent trends in mutual fund communications. Panelists use examples to illustrate what constitutes acceptable advertising and offer suggestions for revising non-compliant communications.
Mutual Funds – Selected Topics
This workshop expands on the Mutual Funds: Essentials panel by focusing on advertising for mutual funds and other investment companies. Panelists discuss recent trends involving exchange-traded funds, performance advertising (including the use of back-tested performance), target date funds and absolute return funds.
Nuts & Bolts
This session is designed for compliance and marketing professionals who are new to advertising regulation and for those who would like a refresher. The panel covers the essentials of the rules and related interpretive materials. Panelists explain how the rules apply to different types of communications, including institutional sales material and correspondence. The panel examines the filing requirements, as well as firms’ approval and recordkeeping obligations. Panelists also provide insights into why certain items receive greater scrutiny than others.
Sales Practices and Supervision
Using an engaging game show format, this session examines the challenging issues that registered principals confront in today’s regulatory environment. Topics include supervisory procedures, supervision of correspondence, face-to-face meetings with customers, electronic communications and public appearances. This session is designed for compliance professionals who are responsible for supervising associated persons who communicate with the public.
Variable Insurance Products – Essentials
This workshop reveals the essentials of variable annuity and variable life insurance advertising regulation. Panelists provide an overview of applicable advertising rules, cover fundamental do's and don’ts, offer guidance on basic hypothetical illustrations and reveal how to present historical performance of variable insurance products. Panelists use hands-on examples to help reinforce the content, and highlight important points for reviewing and approving communications.
Variable Insurance Products – Selected Topics
This session covers complex compliance topics related to variable insurance products drawn from current industry issues and trends. Panelists discuss supplemental hypothetical illustrations, the presentation and illustration of riders, and the presentation of different types of non-standardized historical performance. Test your knowledge of variable annuity and variable life insurance advertising compliance with a hands-on exercise.
Hotel Information
The Advertising Regulation Conference will take place at:
Renaissance Washington, DC Hotel
999 Ninth Street, NW
Washington, DC 20001
Phone: (202) 898-9000
Toll free: (800) 468-3571
Fax: (202) 289-0947
Online Reservations: https://resweb.passkey.com/go/FINRA2009
A room block is available at the Renaissance Washington, DC Hotel at the special rate of $259 per night, plus tax. This rate will be available until the room block or the hotel is sold out, which ever 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 call (800) 468-3571 or (202) 898-9000 and identify yourself as an attendee of FINRA's Advertising Regulation Conference.
Registration & Fees
| Discounted Registration Rates Before or On October 2, 2009 |
Regular Registration Rates After October 2, 2009 |
|
| Member | $695 | $795 |
| Non-Member | $1,075 | $1,175 |
How to Register
| Online* | Online registration is for credit card transactions ONLY. To register using this method, complete the online registration form. Online registration closes one day prior to the start of the program. For those who wish to register after this date, please fax or phone your registration to FINRA. |
| 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: Advertising Regulation Conference (CM2240) P.O. Box 7777-W8440 Philadelphia, PA 19175-8440 Make check payable to: FINRA |
|
| Fax* | Fax registration is for credit card transactions ONLY. Fax your completed downloadable registration form to FINRA at (202) 728-6956. |
| Phone* | (202) 728-6956 |
*For credit card transactions ONLY.
Fees include continental breakfasts on Wednesday and Thursday, reception on Wednesday, lunch on Thursday, refreshment breaks, attendance to all sessions and conference materials.
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.
Registrations may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes will not accept courier or overnight deliveries. Registrations postmarked on or before October 2, 2009, are eligible for early registration discount pricing.
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 conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.
Volume Discounts Available: Call (212) 858-4119 or email for additional details.
CE Credit
Upon completion of the conference, participants are eligible to receive CLE, CPE and/or CRCP CE credits. Conference attendees may receive up to 11 CPE Credits. Delivery Method: Group-live. CPE course level: Overview.
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. We regret that refunds will not be granted after October 7, 2009.
Transfer Policy
Transfer requests must be received in writing prior to the start date of the conference. An additional administrative fee of $75 is charged on all transfers and must be applied to a specific upcoming program.
All transfers are good for six months from the date of receipt of the written transfer request. Please fax your transfer request to (202) 728-6956 or send via email.
Questions, Comments or Complaints
If you have questions or comments about this conference, or would like information about administrative policies such as reporting or resolving a complaint about conferences, please call (212) 858-4119 or email.
Exhibitor Opportunities
FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, please let us know your interest as soon as possible. Contact Jeffrey Arcuri at (508) 759-8180 or jvarcuri@aol.com to request a conference sponsorship package. (Please provide complete contact information in your message.)
Only the FINRA Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps, and FINRA Institute at Wharton are closed to the media.