Fixed Income Conference


Thursday, March 8, 2012
Hilton New York
New York, NY


Attend in person or view broadcast online.

Discounted rates extended to February 23.


FINRA’s annual Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Highlights for 2012 include:


  • Conflicts of interest in debt research reports
  • New TRACE developments
  • Fixed income-related examination priorities
  • Sales practice and suitability considerations for high-yield investments


You may submit questions before the conference to help shape session content. Email questions by Wednesday, February 23.


7:30 a.m. – 8:30 a.m.Registration and Continental Breakfast
8:30 a.m. – 8:45 a.m.Welcome Remarks — Rick Ketchum, FINRA Chairman and CEO
8:45 a.m. – 10 a.m.Debt Research Reports
Panelists discuss FINRA’s proposal to address conflicts of interest in the publication and distribution of debt research reports.
10 a.m. – 10:15 a.m.Break
10:15 a.m. – 11:30 a.m.High-Yield Investments
This session addresses retail participation in high-yield municipal, corporate and other credit obligations. Panelists review firms' practices for complying with the sales practice, suitability and disclosure obligations.
11:30 a.m. – 12:45 p.m.TRACE Developments
This session highlights new TRACE developments. Panelists address various TRACE regulatory issues and broader initiatives, including Asset-Backed Securities (ABS) / Mortgage-Backed Securities (MBS) developments and system enhancements.
12:45 a.m. – 1:45 p.m.Lunch
1:45 p.m. – 3 p.m.Municipal Securities
FINRA, SEC and MSRB staff address recent developments in municipal securities. Panelists discuss rules for municipal advisors, firm responsibility for investor disclosure, enhancements to the Electronic Municipal Market Access (EMMA) website and recent SEC enforcement initiatives.
3 p.m. – 3:15 p.m.Break
3:15 p.m. – 4:30 p.m.

Examinations and Enforcement
This session focuses on FINRA fixed income-related examination priorities and findings, and enforcement cases. Panelists also discuss debt mark-ups and net capital on fixed income valuations.


Live Broadcast Video

Those who can't attend the conference in person may access all sessions live streamed over the Internet. For a single fee ($450 for FINRA members and $700 for non-members), online attendees can view the keynote address and all five sessions live online, with access to online conference materials. Note that the sessions will only be available live and not on demand after the conference.


Registration & Fees

 Before or on February 23After February 23
Member:  In Person$745$895
Non-Member:  In Person$1,125$1,275
Member:  Live Video$450$450
Non-Member:  Live Video$700$700


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

How to Register

To register, complete an online registration form–accessible from the fees section above–using your credit card. Online registration closes one day prior to the start of the program. 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 confirmation of your registration. 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 conferences sell out or in the unlikely event that changes to the conference dates and/or locations become necessary. 


Continuing Education Credit

Upon completion of the conference, participants may be eligible to receive continuing education credits.



Conference attendees may receive up to six CPE credits. This is a live group event. The program level is “overview” and there are no prerequisites or advanced preparation required.



Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program may receive six 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 February 23, 2012.


Location Information

FINRA Fixed Income Conference will be held at:
Hilton New York Hotel
1335 Avenue of the Americas
New York, NY 10019
Phone: (212) 586-7000
Fax: (212) 315-1374


Contact Information

For more information or concerns, please call (800) 321-6273 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 FINRA's Annual Conference is open to journalists. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists.


2012 Fixed Income Conference brochure