Fixed Income Conference

March 9, 2010
The Westin New York at Times Square
New York, NY

 

You can choose to attend the conference in person 
or view live video online. Read below for details.

 

FINRA’s annual Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding to them. Sessions cover policy areas for 2010 including transparency initiatives, new fixed income product creation and retail distribution, recent examination findings and other key regulatory updates. Attendees are invited to submit questions in advance to help shape session content. Email questions to FINRA Conferences by February 26.

 

View the full brochure. (PDF 101 KB)

 

Agenda

 

7:30 a.m. – 8:30 a.m.	Registration and Continental Breakfast
8:30 a.m. – 9:00 a.m.	Keynote Address Rick Ketchum, FINRA Chairman & Chief Executive Officer
9:00 a.m. – 10:00 a.m.	Policy Areas for 2010 Derivatives Reemergence of structured products Regulatory restructuring
10:00 a.m. – 10:15 a.m.	Break
10:15 a.m. – 11:30 a.m.	Transparency Initiatives Preparing for and implementing TRACE expansion Agency debt securities Asset-backed securities including mortgage-backed securities Potential transparency for OTC derivatives
11:30 a.m. – 11:45 a.m.	Break
11:45 a.m. – 1:00 p.m.	Key Regulatory Areas Fixed income research and conflicts of interest Proposed revision of NASD Rule 2440 on fair prices and commissions Debt incorporating longevity risk / life settlements Municipal securities Best execution
1:00 p.m. – 2:15 p.m.	Lunch
2:15 p.m. – 3:30 p.m.	Examinations, Surveillance and Enforcement Examination priorities and findings Sweeps and surveillance concerning corporate and municipal bonds Enforcement concerning price mark-ups, retail sales, interest-rate swaps and municipal underwriting
3:30 p.m. – 3:45 p.m.	Break
3:45 p.m. – 5:00 p.m.	Retail Fixed Income and New Product Creation and Distribution Registered representative training and bond sales practices Retail sale of non-standard fixed income products, e.g., reverse convertibles, InterNotes, fixed income exchange-traded funds (ETFs) Key firm product oversight practices Regulatory and compliance obligations

 

Live Video Streaming

 

Those who can't attend the conference in person may access all sessions live streamed over the Internet. For a single fee ($695 for FINRA members and $1,075 for non-members), online attendees can view FINRA Chairman and CEO Rick Ketchum's 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 16	After February 16
Member, in person	$695	$845
Non-Member, in person	$1,075	$1,225
Member, live video	$695	$695
Non-Member, live video	$1,075	$1,075

 

 

How to Register

 

To register, complete the complete the online registration form using your credit card. Online registration closes one day prior to the start of the program. 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 confirmation of your registration shortly. 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.

 

Volume Discounts Are Available

Call (212) 858-4119 or email for additional details.

 

CE Credit

Six CRCP CE credits are available for the FINRA Fixed Income Conference. CPE credit is also available. Please indicate on the registration form if you request CPE credit. Conference attendees may receive up to 7.2 CPE Credits. Delivery Method: Group-live. CPE course level: Overview

 

Cancellation Policy

Refunds for in-person or live video streaming registration, less a $75 processing fee, will be granted for written requests received 14 days or more prior to the start date of the conference. We regret that refunds will not be available after February 23, 2010.

 

Location Information

FINRA Fixed Income Conference will be held at:
The Westin New York at Times Square
270 West 43rd Street
New York, NY 10036
Phone: (888) 627-7149
Fax: (212) 201-2701
Web: www.westinny.com

 

Questions, Comments or Complaints

If you have questions or comments about this conference, call (212) 858-4119. For information about other administrative policies such as reporting or resolving a complaint about conferences, 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, please let us know your interest as soon as possible. Contact Jeffrey Arcuri at (508) 759-8180 or jvarcuri@aol.com to request a conference sponsorship 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.