2010 Advertising Regulation Conference Information
November 9–10, 2010 • Washington, DC
| FINRA's annual Advertising Regulation Conference provides practical guidance on complying with the advertising rules and regulations for communications with the public. Workshops address advertising issues involving mutual funds, exchange-traded funds, variable insurance products and fixed income investments, as well as the issues raised by seminars and communications on the Web. |
Highlights
- New sessions on social media and fixed income products
- The latest regulatory developments in securities advertising
- Practical, hands-on workshops
- Hear about changes to the Advertising Regulation Electronic Files (AREF) system
View the full brochure.
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 topics 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 online access to conference materials before and after the conference. (FINRA also provides selected hardcopy materials onsite.) FINRA will email a non-public Internet address to all conference registrants approximately one week before the conference.
Submit Questions in Advance
You may submit questions before the conference to help shape session content. Email questions by Friday, October 29.
Agenda
| Monday, November 8 | |
| 5:00 p.m. – 7:00 p.m. | Registration and Information |
| Tuesday, November 9 | |
| 7:30 a.m. – 5:00 p.m. | Registration and Information |
| 7:30 a.m. – 9:00 a.m. | Continental Breakfast |
| 9:00 a.m. – 10:30 a.m. | General Session – Regulatory Developments |
| 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 |
| Wednesday, November 10 | |
| 7:30 a.m. – 12:00 p.m. | Registration and Information |
| 7:30 a.m. – 8:30 a.m. | Continental Breakfast |
| 8:30 a.m. – 9:30 a.m. | General Session – Compliance Considerations for Social Media |
| 9:30 a.m. – 9:45 a.m. | Break |
| 9:45 a.m. – 11:00 a.m. | Concurrent Sessions IV
|
| 11:00 a.m. – 11:15 a.m. | Break |
| 11:15 a.m. – 12:30 p.m. | Concurrent Sessions V
|
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 Hotel
999 Ninth Street, NW
Washington, DC
Phone: (202) 898-9000
Toll free: (800) 266-9432
Online Reservations
A room block is available at the Renaissance Washington, DC Hotel at the special rate of $229 per night, plus tax. This rate will be available until October 21, 2010 or until the room block 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 go to Online Reservations or call (800) 266-9432 and identify yourself as an attendee of FINRA's Advertising Regulation Conference.
Registration & Fees
| Discounted Registration Rates Before or On September 30, 2010 | Regular Registration Rates After September 30, 2010 | |
| Member | $695 | $795 |
| Non-Member | $1,075 | $1,175 |
Volume discounts are available. Call (212) 858-4119 or email for additional details.
How to Register
To register, complete the online registration form. Online registration closes on November 8, 2010. If you experience difficulties registering, please call (212) 858-4119 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.
CLE
CLE credit 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.
CPE
Conference attendees may receive up to 9 CPE credits. Delivery method: Group – Live. Program level: Overview. No prerequisites or advance preparation required.
CRCP CE
Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program may receive 9 CRCP CE credits for attending the conference. Alumni should self-report their credits upon conclusion of the conference by emailing CRCP.
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 October 26, 2010.
Contact Information
For more information or concerns, 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, 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, pre-conferences, classroom learning, compliance boot camps, phone-in workshops and FINRA Institute at Wharton are closed to journalists.