2012 Advertising Regulation Conference

October 25–26, 2012

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. This year’s conference focuses on helping you apply the new FINRA communications rules that the SEC recently approved.

 

Highlights

  • New rules for retail and institutional communications
  • The latest regulatory developments in securities advertising, including social media
  • Interactive, hands-on workshops
  • Office hours with FINRA Advertising Regulation analysts
  • CLE and CPE credits available
  • Learn about changes to the advertising review payment process and FINRA's electronic billing system—E-Bill
  • A demonstration of the Advertising Regulation Electronic Files (AREF) system

 

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 19.

 

Agenda

Wednesday, October 24
5:00 p.m. – 7:00 p.m.

Registration and Information

Thursday, October 25
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. – 12:15 p.m.

Concurrent Sessions I

  • Mutual Funds: A Road Map to Compliant Communications
  • Nuts and Bolts of Advertising Regulation
  • Social Media Compliance
12:15 p.m. – 1:45 p.m.

Lunch

1:45 p.m. – 3:00 p.m.

Concurrent Sessions II

  • Enforcement Case Studies
  • Mutual Funds: A Road Map to Compliant Communications
  • Nuts and Bolts of Advertising Regulation
3:00 p.m. – 3:30 p.m.

Break

3:30 p.m. – 4:45 p.m.

Concurrent Sessions III

  • Enforcement Case Studies
  • Social Media Compliance
  • Variable Insurance Products: Common Advertising, Suitability and Sales Practice Issues
5:00 p.m. – 6:30 p.m.

Reception

Friday, October 26
7:30 a.m. – 1:00 p.m.

Registration and Information

7:30 a.m. – 9:00 a.m.

Continental Breakfast

9:00 a.m. – 10:15 a.m.

Concurrent Sessions IV

  • Advertising Review Workshop
  • General Brokerage Products Communications
  • Sales Practices and Supervision of Sales Staff
10:15 a.m. – 10:30 a.m.

Break

10:30 a.m. – 11:45 a.m.

Concurrent Sessions V

  • Advertising Review Workshop
  • Marketing Derivatives and Structured Products
  • Sales Practices and Supervision of Sales Staff
11:45 a.m. – 12:00 p.m.

Boxed Lunch

12:00 p.m. – 1:00 p.m.

General Session – Open Questions & Answers

 

 

Registration & Fees 

 Discounted Registration Rates
Before or On October 3, 2012
Regular Registration Rates
After October 3, 2012
Member$795$895
Non-Member$1,225$1,325

 

Volume discounts are available for Member and Non-member firms registering 3 or more employees at the same time. Call (202) 728-8339 or email for additional details

 

How to Register

To register, complete the online registration form. Online registration closes on October 24, 2012 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.
 
CLE
As many as 7.5 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.
 
CPE
Conference attendees may receive up to 7.5 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 nine CRCP CE credits for attending the conference.

 

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 Hotel at the special rate of $249 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 Washington, DC Downtown Hotel or please call (800) 228-9290 and identify yourself as an attendee of FINRA's Advertising Regulation Conference.

 

A room block is also available at the Embassy Suites DC Convention Center Hotel, located approximately two blocks from the Renaissance Washington, DC Downtown Hotel.

 

Embassy Suites DC Convention Center Hotel
900 10th Street, NW
Washington, DC 20001
Phone: (202) 739 2001
Toll free: (800) 362-2779

 

Rate: $299 per night, plus tax. This rate will be available until October 9, 2012 or until the room block is sold out.

 

To reserve a room, please call (800) 362-2779 and identify yourself as an attendee of FINRA's Advertising Regulation Conference.

 

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 11, 2012.

 

Contact Information

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

 

Exhibitors

View the full list of conference exhibitors.

 

To inquire about exhibitor opportunities:

 

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.