2013 Advertising Regulation Conference


October 10–11, 2013
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.


Conference sessions address FINRA rules and interpretations as they apply to communications for investment company products, structured products and alternative investments as well as the issues raised by social media and public appearances.



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


View the agenda and session descriptions.



Meet With Staff

Meet one-on-one with FINRA's Advertising Regulation staff during designated office hours to 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, September 27.




Wednesday, October 9
7:30 a.m. - 5 p.m.Registration and Information


Thursday, October 10


7:30 a.m. - 5 p.m.Registration and Information
7:30 a.m. - 9 a.m.Continental Breakfast
8:30 a.m. - 5 p.m.
  • AREF Demonstrations
  • Office Hours
9 a.m. - 10:30 a.m.General Session
  • FINRA Investor Education Overview
  • Regulatory Developments
10:30 a.m. - 11 a.m.Break
11 a.m. - 12:15 p.m.Concurrent Sessions I
  • Mutual Funds: Creating a Compliant Marketing Campaign
  • Nuts & Bolts of Advertising Regulation
  • Social Media and Mobile Considerations
12:15 p.m. - 1:45 p.m.Lunch
1:45 p.m. - 3 p.m.Concurrent Sessions II
  • General Brokerage Products Communications
  • Nuts & Bolts of Advertising Regulation
  • Mutual Funds: Creating a Compliant Marketing Campaign
3 p.m. - 3:30 p.m.Break
3:30 p.m. - 4:45 p.m.Concurrent Sessions III
  • Sales Practices and Supervision of Sales Staff
  • Social Media and Mobile Considerations
  • Variable Insurance Products: Common Advertising, Suitability and Sales Practice Issues
5 p.m. - 6:30 p.m.Reception


Friday, October 11


7:30 a.m. - 1 p.m.Registration and Information
7:30 a.m. - 9 a.m.Continental Breakfast
8:30 a.m. - 1 p.m.
  • AREF Demonstrations
  • Office Hours
9 a.m. - 10:15 a.m.Concurrent Sessions IV
  • Advertising Review Workshop
  • Marketing Derivatives and Structured Products
  • Enforcement Case Studies
10:15 a.m. - 10:30 a.m.Break
10:30 a.m. - 11:45 a.m.Concurrent Sessions V
  • Advertising Review Workshop
  • Exchange-Traded Fund and Closed-End Fund Communications
  • Enforcement Case Studies
11:45 p.m. - 12 p.m.Boxed Lunch
12 p.m. - 1 p.m.General Session - Open Questions & Answers



Registration & Fees

In-personDiscounted Registration Rates Before or On September 16, 2013Regular Registration Rates After September 16, 2013
Group Rate (Per Person)*  


*Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instructions in registration system.


How to Register


To register, complete the online registration form. Online registration closes on October 9, 2013 or until sold out. If you experience difficulties registering, please call (202) 728-8339 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.


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.


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


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 emailing CRCP.


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


A room block is available at the Renaissance Washington, DC Downtown Hotel at the special rate of $269.00 per night, plus tax. This rate will be available until Wednesday, September 18 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 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 $289 per night, plus tax. This rate is available until September 27, 2013, or until the room block is sold out, whichever comes first. To reserve a room call (202) 739-2001 and identify yourself as a 2013 FINRA Advertising Regulation Conference attendee—meeting code FAR.


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 26, 2013.


Contact Information


For more information or concerns, please call (202) 728-8339 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.