2011 Advertising Regulation Conference Information

October 27–28, 2011 • Washington, DC

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



  • New sessions on alternative investments and REITs and marketing and compliance
  • The latest regulatory developments in securities advertising, including social media
  • Practical, hands-on workshops
  • Expanded 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, October 14. 



Wednesday, October 26  
5 p.m. – 7 p.m.

Registration and Information

Thursday, October 27


7:30 a.m. – 5 p.m.

Registration and Information

7:30 a.m. – 9 a.m.

Continental Breakfast

9 a.m. – 10:30 a.m.

General Session – Regulatory Developments

10:30 a.m. – 11 a.m.


11 a.m. – 12:15 p.m.

Concurrent Sessions

  • Mutual Funds – Compliance Considerations
  • Nuts and Bolts of Advertising Regulation
  • Variable Insurance Products: Guidance on Applicable Rules and Interpretations
12:15 p.m. – 1:45 p.m.


1:45 p.m. – 3 p.m.

Concurrent Sessions II

  • Enforcement Case Studies
  • Mutual Funds – Compliance Considerations
  • Nuts and Bolts of Advertising Regulation
3 p.m. – 3:15 p.m.


3:15 p.m. – 4:30 p.m.

Concurrent Sessions III

  • Enforcement Case Studies
  • General Brokerage Products Communications
  • Variable Insurance Products: Guidance on Applicable Rules and Interpretations
5 p.m. – 6:30 p.m.


Friday, October 28


7:30 a.m. – 1 p.m.

Registration and Information

7:30 a.m. – 8:30 a.m.

Continental Breakfast

8:30 a.m. – 9:45 a.m.

General Session – Compliance Considerations for Social Media

9:45 a.m. – 10 a.m.


10 a.m. – 11:15 a.m.

Concurrent Sessions IV

  • Advertising Review Workshop
  • Marketing and Compliance – A Team Effort
  • Sales Practices and Supervision of Sales Staff
11:15 a.m. – 11:30 a.m.


11:30 a.m. – 12:45 p.m.

Concurrent Sessions V

  • Advertising Review Workshop
  • Alternative Investments and REITs
  • Sales Practices and Supervision of Sales Staff
12:45 p.m. – 1 p.m.

Boxed Lunch

1 p.m. – 2 p.m.

Round Table Discussion and Q&A With Panelist


Registration & Fees 

  Discounted Registration Rates
Before or On October 3, 2011
Regular Registration Rates
After October 3, 2011
Member $775 $875
Non-Member $1,195 $1,295


Volume discounts are available. Call (202) 728-8131 or email for additional details.



How to Register

To register, complete the online registration form. Online registration closes on October 22, 2011. 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.
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 Hotel – Downtown
999 Ninth Street, NW
Washington, DC
Phone: (202) 898-9000
Toll free: (800) 228-9290

A room block is available at the Renaissance Washington, DC Hotel at the special rate of $239 per night, plus tax. This rate will be available until October 3 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 Renaissance Hotel – Downtown or call (800) 228-9290 and identify yourself as an attendee of FINRA's Advertising Regulation Conference.


Following is a list of additional hotels located near the conference site. Please contact these hotels directly to inquire about room availability.
Grand Hyatt Washington
1000 H Street, NW
Washington, D.C. 20001
(202) 582-1234
Rooms at the rate of $259 are available until October 24 or until the hotel is sold out. To make a reservation call at (800) 233-1234 and request the FINRA block.


Embassy Suites Hotel
900 10th Street, NW
Washington, DC 20001
(202) 739-2001
Rate based on availability.

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 13, 2011.


Contact Information

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



View the full list of conference exhibitors.

To inquire about exhibitor opportunities:
• Call Jeff Arcuri at (508) 759-8180
• Send an email
Only the FINRA Annual Conference is open to journalists. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists. 

Last Updated: 9/29/2011