2013 Fixed Income Conference

2/12/13: Recent Conference Updates
  • Bob Colby, Chief Legal Officer of FINRA, will deliver the keynote address.
  • A complete list of speakers is now available on the online brochure.

FINRA's annual Fixed Income Conference addresses current impacts on the fixed income markets and how regulators and firms are responding.

Agenda and Session Descriptions

7:30 a.m. – 8:30 a.m. Registration and Continental Breakfast
8:30 a.m. – 9 a.m. Welcome

Keynote Address:
Bob Colby, Chief Legal Officer, FINRA
9 a.m. – 10:15 a.m. Rulemaking Developments
This session highlights several rulemaking developments. Panelists discuss debt research conflicts of interest and carve-outs for institutions, mark-ups, commissions and fees, and effects of the Dodd-Frank Act on the fixed income market, among other areas.
10:15 a.m. – 10:30 a.m. Break
10:30 a.m. – 11:45 a.m. Municipal Securities
This session addresses developments in municipal securities. Panelists examine the recommendations in the SEC’s Report on the Municipal Securities Market and discuss registration of municipal advisors.
11:45 a.m. – 1 p.m. Networking Lunch
Meet industry peers and FINRA Fixed Income Committee members.
1 p.m. – 2:15 p.m. TRACE Update
This session focuses on recent TRACE dissemination initiatives, including TBA and specified pool dissemination, and other developments. Panelists discuss recent TRACE-related rulemaking, Regulatory Notices and FAQs.
2:15 p.m. – 2:30 p.m. Break
2:30 p.m. – 4 p.m. Examination and Enforcement
This session covers FINRA’s fixed income-related examination priorities, findings and enforcement cases. Panelists focus on common exam findings, including those related to complex products, and share lessons learned from recent enforcement cases.
4 p.m. – 4:15 p.m. Break
4:15 p.m. – 5:15 p.m. Retail Sales Suitability and Disclosure
This session is geared to smaller firms that sell fixed income products to retail customers. Practitioners discuss procedures and practices for complying with new and modified suitability and know-your-customer requirements.

Two Ways to Participate

  1. Attend in-person.
  2. Participate via live streaming broadcast streamed over the Internet.

Registration & Fees

In-person Thru-Feb 19 After Feb 19
Member $745 $895
Non-Member $1,125 $1,275
Government/Regulator $560 $670
Group Rate (Per Person)*    
Member $630 $760
Non-Member $950 $1,080

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

Live Broadcast Thru-Feb 19 After Feb 19
Single Viewer License 
Member (Small Firms) $100 $100
Member $200 $200
Non-member $700 $700
Government/Regulator $200 $200
Multi-Viewer License
Member (Small Firms) $200 $200
Member $400 $400
Non-member $1,100 $1,100
Government/Regulator $400 $400

Member: employees of FINRA member firms; must provide a valid firm CRD number when registering for the conference.
Member (Small Firms): employees of FINRA member firms with 150 or fewer registered representatives; must provide a valid firm CRD number when registering for the conference.
Attorney: practicing lawyers who are employed by law firms, service providers or any other organization that is not a FINRA member firm; must provide a valid bar ID number when registering for the conference.
Government/Regulator: employees of state and federal government and regulatory agencies.
Non-Member: all others.

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 6 CRCP CE credits for attending the conference either in person or via live broadcast. 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 27, 2013.

Location Information

FINRA Fixed Income Conference will take place at:

New York Marriott Downtown
85 West Street
New York, NY 10006
Phone: (212) 385-4900 or (877) 513-6305

A room block is available at the New York Marriott Downtown Hotel at the special rate of $279 per night, plus tax. This rate is available until February 25, 2013, or until the room block is sold out. Hotel reservations will then be accepted on a space- and rate-available basis. To reserve a room, please call (877) 513-6305 and identify yourself as a FINRA Fixed Income Conference attendee.

Contact Information

For more information or concerns, please call (800) 321-6273.

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.