2026 FINRA Advertising Regulation Conference Agenda
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies. The conference also provides the opportunity to network with industry peers, participate in advertising review workshops, attend technology demos, and meet one-on-one with Advertising Regulation Department staff.
*Sessions will be streamed for live viewing and recorded for on-demand access
**Featured session (see details in callout box below)
All times listed are Eastern Time.
Wednesday, October 14
2:00 p.m. – 7:00 p.m.
Registration & Information
3:15 p.m. – 4:15 p.m.
Pre-Conference Workshop Part I: Foundations of FINRA’s Communications With the Public Rule—FINRA Rule 2210 (In-person only)
This session offers an overview of FINRA’s Communications with the Public Rule, covering filing requirements, internal approval processes, supervision and content standards. Designed primarily for both new and experienced compliance and marketing professionals seeking a refresher, the workshop features FINRA staff experts who also answer questions about applying these rules to financial services communications including examples of marketing materials.
4:15 p.m. – 4:30 p.m.
Break
4:30 p.m. – 5:30 p.m.
Pre-Conference Workshop Part II: Foundations Beyond Rule 2210 (In-person only)
Gain an understanding of frequently applied advertising rules in addition to FINRA Rule 2210 necessary to create compliant communications. This workshop discusses and provides examples of communications covering SEC required disclosure and performance standards, performance rankings, key options rule requirements and requirements related to municipal securities.
5:30 p.m. – 7:00 p.m.
Reception With Exhibitors
Office Hours
Thursday, October 15
7:30 a.m. – 5:30 p.m.
Registration & Information
7:30 a.m. – 9:00 a.m.
Breakfast With FINRA Staff
8:00 a.m. – 5:30 p.m.
Office Hours
Advertising Regulation Technology Demonstrations
8:00 a.m. – 8:45 a.m.
Networking Icebreaker (In-person only)
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.
8:45 a.m. – 9:00 a.m.
Break
9:00 a.m. – 9:15 a.m.
Welcome Remarks*
9:15 a.m. – 10:30 a.m.
Plenary Session: FINRA Forward Initiatives and Regulatory Developments*
Hear from Advertising Regulation leaders as they address the latest in FINRA Forward and regulatory developments, including potential new rule making, voluntary revised communications program, report cards and other initiatives.
10:30 a.m. – 10:45 a.m.
Break
10:45 a.m. – 12:00 p.m.
Concurrent Sessions:
Digital Communications: Modern Media Supervision and Regulatory Challenges*
Navigate the complex challenges of digital communications, with a focus on social media. This session addresses critical compliance issues including social media use, finfluencer relationships, off-channel communications, recordkeeping requirements and disclosure obligations. Panelists examine FINRA's supervisory expectations, how communications with the public rules apply to social media and effective practices for supervision in today's digital landscape.
Compliant Communications for Exchange Traded Products and Emerging Investments (In-person only)
Explore the cutting edge of exchange traded products including investment companies and close-end funds. This panel examines how to create compliant communications to market innovative products developed to meet investor demand.
Interactive Communications Lab** (In-person only)
Experience a personalized, hands-on learning format where you drive the conversation. This innovative lab session puts you in control—select from various mock communications based on your interests, then analyze them alongside FINRA analysts in a collaborative workshop setting. Through one-on-one and small group discussions, FINRA analysts provide real-time regulatory perspective on how they would evaluate the content and offer real-time insights on the materials you choose to examine. This flexible format lets you concentrate on the communication types and compliance issues that matter most to your firm, equipping you with practical, actionable strategies to enhance your advertising review process.
Available in all four concurrent session blocks. Attendees may participate in one or multiple sessions to explore different communications.
12:00 p.m. – 1:00 p.m.
Lunch With FINRA Staff and Trending Topics Networking
Join your peers and FINRA staff for lunch while engaging in informal discussions on topics shaping the communications landscape, including social media, AI, crypto assets and more. Find a table labeled with a trending topic of interest and connect with colleagues exploring the same issues.
1:00 p.m. – 1:30 p.m.
Dessert With Exhibitors
1:30 p.m. – 2:45 p.m.
Concurrent Sessions:
Platform Innovation: Super Apps, Integrated Services and Products*
This member-driven panel examines the emerging landscape of super apps and multi-service platforms, exploring the unique regulatory hurdles these integrated ecosystems present for advertising compliance and supervision. Super Apps represent an evolution in how firms engage with customers, as these platforms integrate products and services offered by the firm with non-firm offerings such as banking, payment processing, crypto and advisory services.
Beyond the Public Markets: Communications Compliance for Exempt Offerings (In-person only)
This session focuses on the growing private offering industry and regulatory requirements related to private placements and public offerings registered under Regulation D and Regulation A. Panelists discuss marketing trends and advertising standards in the exempt offering space. Speakers share marketing examples, scenarios and practical guidance to help firms create compliant communications.
Interactive Communications Lab** (In-person only) – See Featured Session box below
2:45 p.m. – 3:15 p.m.
Networking Break
3:15 p.m. – 4:15 p.m.
Understanding the Advertising Regulation and Regulatory Operations Partnership: Strengthening Firm Support Through Cross-Departmental Collaboration*
Join panelists from Advertising Regulation and Regulatory Operations, including Examinations, Risk Monitoring, and Enforcement, for an in-depth discussion on how these departments work together to support member firms. This session explores the key connections and workflows, including how advertising matters flow between departments and when each team becomes involved in firm oversight. Panelists discuss coordination on examinations, investigations and compliance issues that involve communications, ensuring seamless regulatory support. The panel also addresses how FINRA Forward initiatives have transformed interdepartmental collaboration and enhanced the way FINRA works together to deliver more efficient, effective and responsive support to member firms.
Inside the Crypto Hub: An Evolving Regulatory Landscape (In-person only)
Participants gain an inside look at FINRA’s crypto asset work including the formation and purpose of the “Crypto Hub.” Gain an understanding of what FINRA has learned about firms’ crypto asset activities and how FINRA continues to evolve oversight and surveillance in this space, including touchpoints with Advertising Regulation. Panelists also provide an update on recent SEC regulatory updates regarding crypto and tokenization.
Interactive Communications Lab** (In-person only) – See Featured Session box below
4:15 p.m. – 4:30 p.m.
Break
4:30 p.m. – 5:30 p.m.
Plenary Session: AI Governance: Building Robust Controls While Harnessing Innovation*
As generative artificial intelligence (GenAI) transforms financial services, this panel examines how broker-dealers are implementing GenAI while managing unique risks including AI hallucinations, bias and cybersecurity vulnerabilities. Drawing on FINRA survey data and regulatory insights, panelists discuss essential compliance frameworks: establishing governance and testing protocols, monitoring AI outputs for accuracy and addressing emerging challenges. The session provides guidance on building supervisory approaches to meet regulatory expectations while leveraging AI's capabilities in this rapidly evolving landscape.
5:30 p.m. – 7:00 p.m.
Networking Reception
Friday, October 16
7:30 a.m. – 12:30 p.m.
Registration & Information
7:30 a.m. – 9:00 a.m.
Breakfast With FINRA Staff
8:00 a.m. – 12:30 p.m.
Office Hours
Advertising Regulation Technology Demonstrations
9:00 a.m. – 10:00 a.m.
Plenary Session: Inside the Public Communications Committee: Advising Advertising Regulation on Rules, Guidance and Emerging Practices*
Join members of the Public Communications Committee for a dynamic conversation about the committee's purpose, role and impact. This session offers a unique opportunity to hear directly from committee members about how they help advise the Advertising Regulation Department on proposed rule changes, interpretive guidance and rule implementation. Panelists share their perspectives on emerging communications practices, evolving industry challenges and the meaningful role the committee plays in shaping regulatory approaches that balance investor protection with practical firm compliance. This is an interactive session—bring your questions and engage directly with committee members about the issues that matter most to your firm's communications compliance.
10:00 a.m. – 10:15 a.m.
Break
10:15 a.m. – 11:30 a.m.
Concurrent Sessions:
Staying Ahead of the Curve: Collaborative Approach to Emerging Trends and Novel products* (In-person only)
Join panelists from FINRA's Financial Intelligence Unit, Advertising Regulation Department, and member firms for an engaging discussion on emerging trends, novel products and the critical importance of collaboration in navigating the evolving financial landscape. This session explores new market developments, innovative investment products and emerging communications on topics such as Pre-IPO funds, prediction markets and complex ETFs. Panelists discuss how proactive research and meaningful firm engagement create important touchpoints, ensuring that regulatory guidance keeps pace with industry innovation.
Insurance Innovation: Compliance Standards for Variable Insurance Products and RILAs (In-person only)
Navigate the changing world of insurance product communications and compliance. This panel examines current advertising standards for variable annuities and variable life insurance, with special attention to the increasing popularity of index-linked investment options. Panelists explore the dramatic increase in registered index-linked annuities (RILAs) and share effective practices for creating compliant marketing material, including the proper use of hypothetical illustrations.
Interactive Communications Lab** (In-person only) – See Featured Session box below
11:30 a.m. – 11:45 a.m.
Break
11:45 a.m. – 12:45 p.m.
Plenary Session: Behind the Rules: Leadership Perspectives on Communications Compliance*
Join FINRA's Advertising Regulation leadership team for an exclusive dialogue on communications oversight in today's rapidly evolving marketplace. This interactive session explores the regulatory perspectives and practical considerations shaping how firms communicate with investors across traditional and emerging channels. Gain insights into FINRA's approach to communications regulation, understand the principles that guide oversight decisions and learn what regulators are focused on as technology and market practices evolve. The discussion addresses key challenges firms face in maintaining compliant communications programs while adapting to new platforms, content formats and investor engagement strategies.
12:45 p.m.
Conference Adjourns
**Featured Session: Interactive Communications Lab (Repeating Session)
Offered: Thursday 10:45 a.m., 1:30 p.m., 3:00 p.m.; Friday 10:15 a.m.
Experience a personalized, hands-on learning format where you drive the conversation. This innovative lab session puts you in control – select from various mock communications based on your interests, then analyze them alongside FINRA analysts in a collaborative workshop setting. Through one-on-one and small group discussions, FINRA analysts provide real-time regulatory perspective on how they would evaluate the content and offer real-time insights on the materials you choose to examine. This flexible format lets you concentrate on the communication types and compliance issues that matter most to your firm, equipping you with practical, actionable strategies to enhance your advertising review process.
Attend one or multiple sessions to try different communications.