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2019 Advertising Regulation Conference Agenda

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FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulations. This year’s conference also includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.

 

Wednesday, October 23


5:30 p.m. – 7:00 p.m.

Kick Off Happy Hour With Exhibitors
Registration
Office Hours
FINRA Innovation and Business Zone

 

Thursday, October 24


7:30 a.m. – 5:00 p.m.

Registration
Office Hours
AREF Demonstrations
FINRA Innovation and Business Zone


7:30 a.m. - 10:00 a.m.

Continental Networking Breakfast


9:00 a.m. – 9:45 a.m.

Icebreaker

Come meet your fellow attendees at this fun and informative icebreaker session. Bring your coffee and questions about how to get the most from the conference experience. FINRA staff guide participants through light-hearted meet-and-greet activities and preview conference highlights.


10:00 a.m. – 10:05 a.m.

Welcome Remarks


10:05 a.m. – 11:15 a.m.

Regulation Best Interest and Current Developments

Join FINRA staff for an in-depth discussion on Regulation Best Interest and current advertising compliance issues. Topics include the impact of the FAIR Act, the status of FINRA’s rule proposal related to the use of projections, and considerations in advertising bank sweep products and digital assets.


11:15 a.m. – 11:30 a.m.

Networking Break


11:30 a.m. – 12:30 p.m.

Concurrent Sessions:

Investment Company Topics 

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current topics and trends, including innovative products, regulatory interpretations and compliance tips.

Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials.

Private Placements, Digital Assets and Alternative Investments

This session focusses on industry and regulatory developments related to private placements, digital assets and alternative investments. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and compliance tips for firms offering these products to retail and institutional investors.


12:30 p.m. – 1:30 p.m.

Networking Lunch


1:30 p.m. – 1:45 p.m.

Dessert With Exhibitors


1:45 p.m. – 2:45 p.m.

Concurrent Sessions:

General Brokerage and Supervision

Join FINRA staff and industry practitioners as they discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and how they address the advertising rules with respect to dually registered representatives, marketing materials created by third parties, and new investment products. This panel also covers current areas of interest such as private placements and consolidated reports.

Investment Company Topics (Repeat Session)

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current topics and trends, including innovative products, regulatory interpretations and compliance tips.

Advertising Compliance Boot Camp: Select Topics

Designed for new compliance and marketing professionals, FINRA panelists provide insights into the core concepts of social media and digital communications, as well as the basic requirements and frequently raised regulatory compliance questions with respect to communications concerning mutual funds, ETFs and variable insurance products. The panel also features sample advertisements and important do’s and don’ts.


2:45 p.m. – 3:00 p.m.

Networking Break


3:00 p.m. – 4:00 p.m.

Concurrent Sessions:

Variable Insurance Products – Regulatory Overview and New Developments

Panelists from FINRA and the industry conduct this interactive session—first with a brief overview of the essentials for creating compliant communications, followed by a discussion of specific areas that frequently raise questions and regulatory challenges. The panelists also explore new regulatory developments and innovations in the structure of contracts and investment options, along with how firms address the compliance challenges raised by the marketing of variable insurance products.

General Brokerage and Supervision (Repeat Session)

Join FINRA staff and industry practitioners as they discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and how they address the advertising rules with respect to dually registered representatives, marketing materials created by third parties, and new investment products. This panel also covers current areas of interest such as private placements and consolidated reports.

Advertising Review Workshop

During this highly interactive and dynamic session, attendees apply advertising rules to several mock advertisements and uncover the hidden concerns. Attendees work in small groups and present their findings to fellow participants, while moderators present the regulatory perspective, clarify any misperceptions and answer questions.


4:00 p.m. – 4:15 p.m.       

Networking Break


4:15 p.m. – 5:00 p.m.

Keynote Speaker: Gerri Walsh, FINRA Investor Education Foundation and Senior Vice President, FINRA Investor Education

Investor Education and Financial Capability

Join FINRA staff as they discuss the state of the U.S. Financial Capability Study and how innovations, financial education offerings and changes in the economy may impact the financial decisions and behaviors of millions of Americans.


5:00 p.m. – 6:30 p.m.

Networking Reception

 

Friday, October 25


7:00 a.m. – 12:00 p.m.

Registration
Office Hours
AREF Demonstrations
FINRA Innovation and Business Zone


7:00 a.m. – 8:30 a.m.

Continental Networking Breakfast


8:30 a.m. – 9:30 a.m.

Digital Marketing, Social Media and Disclosure Innovation

In the rapidly developing world of digital marketing, how can firms stay in compliance? Can firms communicate relevant, meaningful information in the digital age? Attend this session to experience how industry and regulatory experts are grappling with these challenges. The panel covers current topics including how firms engage technology to address their compliance obligations and creative ways to use effective disclosure.


9:30 a.m. – 9:45 a.m.

Networking Break


9:45 a.m. – 10:45 a.m.

Concurrent Sessions:

RegTech in Advertising Compliance and Beyond

RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. Join FINRA staff and industry panelists as they share insight on innovative technologies being used to develop more effective, efficient, and risk-based compliance programs in the area of communications with the public. Panelists discuss how RegTech tools are helping address new challenges and regulatory implications associated with supervision, vendor management, data privacy and security.

Sales Practices a Case Study Approach

Designed for compliance professionals who supervise sales staff, this session examines the issues that registered principals confront in today’s regulatory environment. Panelists representing FINRA Advertising Regulation, Enforcement and District Office staff address a wide range of topics drawn from recent enforcement cases, including supervisory procedures related to outside business activities, recent exam findings and the disciplinary process. They also highlight potential “red flags” and provide suggestions to help avoid compliance issues.


10:45 a.m. – 11:00 a.m.

Networking Break


11:00 a.m. – 12:00 p.m.

Concurrent Sessions:

Municipal Rules and 529 Plans Update

The municipal securities advertising rules have changed. Attend this session to learn how the regulators are applying the modernized standards including the new rule for municipal adviser firms. Plus FINRA staff will discuss the recent sweep involving 529 educational savings plans and developments in the marketing of these products. Panelists discuss how these rule changes impact firms marketing and advertising efforts.

Advertising Review Workshop (Repeat Session)

During this highly interactive and dynamic session, attendees apply advertising rules to several mock advertisements and uncover the hidden concerns. Attendees work in small groups and present their findings to fellow participants, while moderators present the regulatory perspective, clarify any misperceptions and answer questions.


12:00 p.m.

Conference Adjourns


This agenda is subject to change.

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