2016 finra annual conference

FINRA Annual ConferenceMay 23-25, 2016

Washington, DC

00 Discover new perspectives and hear the latest regulatory updates.

00 Network and exchange ideas with peers and industry experts.

00 Choose from more than 45 sessions, including an all-new Advertising Regulation track and the Back to Basics Compliance Program for compliance professionals with less than five years’ experience.

00 Attend the opening night reception at the Smithsonian American History Museum.

00 Earn CLE, CPE and CRCP credits.

A Monumental Event

http://www.finra.org/industry/2016-finra-annual-conference?utm_source=online&utm_medium=brochure&utm_campaign=AC2016

http://www.finra.org/annualconference16

As we approach this year’s FINRA Annual Conference, I’d like to briefly reflect on the state of our industry when I became FINRA Chairman and CEO in 2009. Unprecedented turmoil in markets and firms required substantial changes in firm operation and oversight in order to restore investor confidence and repair the financial services industry. With 2016 opening with markets unsettled and some investors on edge amid a wide variety of economic and geopolitical headwinds around the world, notwithstanding the progress that has been made, we must collectively be vigilant to ensure sound operation of markets and their participants.

In that spirit, and despite the ups and downs of portfolios and economies, protecting investors and maintaining the integrity of the markets must remain our shared priorities. The new year brings novel capital-raising techniques like funding portals, ever-increasing threats to cybersecurity, as well as existing concerns like the growing population of senior investors. How regulators and firms respond to today’s issues plays a vital role in our ability to protect investors and restore confidence for the future.

This is why FINRA’s Annual Conference is so essential: It brings regulators, leaders from firms, government representatives and others together. The conference provides attendees with practical guidance and application for the financial services industry. It was designed to assist financial professionals within an ever-changing and complex regulatory environment.

I hope you’ll join us in Washington, for the benefit of your firm and your customers.

Richard G. Ketchum FINRA Chairman & CEO

Richard G. Ketchum FINRA Chairman & CEO

Message From FINRA’s Chairman & CEO

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Special Events and Networking Opportunities

Special Events for 2016Opening Night Reception at the Smithsonian Museum of American History

Join us at the Smithsonian Museum of American History for a can’t-miss opening night reception. Explore more than 3 million artifacts from the original Star Spangled Banner to Dorothy’s ruby slippers from the Wizard of Oz. Visit the conference website for more information and to register a guest.

Back to Basics Compliance (B2BC) Program

Back by popular demand, compliance professionals with less than five years of experience can take part in the special B2BC program—the full Annual Conference experience, but with expanded opportunities for discussion and to ask questions. The program is designed to deliver a full understanding of key regulations, industry issues and compliance strategies from the viewpoint of a newer industry professional.

Networking OpportunitiesNetworking is essential in the financial industry and there is no better place to do it than at the FINRA Annual Conference. There are ample opportunities to network at this year’s conference. Networking events include:

00 Breakfast with FINRA Member Regulation Senior Staff – with representatives from FINRA districts

00 Certified Regulatory and Compliance Professional (CRCP) Lunch – with details on how to join an elite group of compliance professionals

00 Diversity and Inclusion Lunch – featuring a special guest speaker00 Kick-Off Reception with Exhibitors – Meet with more than 50 exhibitors

showcasing their compliance-related products and services 00 Networking Reception – a relaxed atmosphere to share ideas with colleagues,

regulators, peers and our exhibitors00 Opening Reception at the Smithsonian American History Museum – see the

special events section above00 Small Firm Advisory Board (SFAB) Lunch – including a 20-minute panel

discussion

Smithsonian Museum of American History

FINRA Tools, Tips and Resources

Meet with FINRA technology specialists for live demonstrations, hands-on system training and tips for using FINRA online tools; and connect with representatives from various FINRA departments to learn about FINRA initiatives, resources, and to provide feedback or get answers to questions.

Office Hours

Meet one-on-one with FINRA senior staff to discuss firm-specific questions. Sign up for a 15-minute appointment through the conference app (additional information to follow).

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Agenda | Sunday, May 22 and Monday, May 23

Sunday, May 22

5:00 p.m. – 7:00 p.m. Registration & Information

“Kick-Off” Reception With Exhibitors

Monday, May 23

8:00 a.m. – 5:30 p.m. Registration & Information

8:00 a.m. – 5:30 p.m. Meet With Exhibitors

8:00 a.m. – 10:00 a.m. Continental Breakfast

8:45 a.m. – 9:45 a.m. 00 B2BC Breakfast, Welcome & Information Session This orientation breakfast is designed specifically to provide B2BC program participants the opportunity to gain valuable knowledge on how to navigate the conference. During this session, attendees learn about the conference app and networking opportunities, and receive information about the many onsite opportunities, including office hours, system demos and more. Attendees also have the opportunity to network with fellow B2BC program participants and get first-hand answers to last-minute questions. Can’t make this session? Visit the App Desk next to Registration for a quick tutorial, or visit an Information Booth located on levels 2, 3 or 4.

10:00 a.m – 10:30 a.m. Plenary Session I

00 Welcome Remarks—Rick Ketchum, FINRA Chairman and CEOFINRA Chairman and CEO Rick Ketchum opens the conference and shares his thoughts on strengthening regulation and policy to increase investor protection.

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New this year

Each session has a designated participant level – Beginner, Intermediate, and Advanced.

Live Broadcast Attendees: = video broadcast live | = audio broadcast live

Experience Level: = Beginner | = Intermediate | = Advanced4

10:30 a.m. – 10:45 a.m. NETWORKING & DEMOS | BREAK

10:45 a.m. – 11:45 a.m. Concurrent Sessions I

00 Common Exam Deficiencies and Effective Practices (Small Firm Focus)Join FINRA staff members as they discuss the most common deficiencies noted during FINRA cycle examinations of small firms, and issues that result in a cautionary letter. Industry practitioners discuss taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies.

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00 Evolving Role of a Compliance ProfessionalThe compliance role has become more demanding given increasing expectations from regulators, Congress and the public, and the challenges faced when having to balance these with the expectations of various internal stakeholders. Separation of the second and first lines of defense is becoming much more challenging. Join FINRA staff and industry practitioners as they discuss how firms are addressing the changes to the compliance function.

00 Digital Investment AdviceThis panel focuses on digital investment advice tools. Panelists discuss firms’ practices regarding the use of these tools, and observations and effective practices from FINRA’s recent Report on Digital Investment Advice.

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00 Suitability: What You Need to KnowPanelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers, concentration levels, online recommendations and share class considerations. Finally, panelists offer insights into FINRA examinations focused on suitability issues.

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00 Social Media and Public Communications: Helping You Get It Right (Advertising Track/B2BC)New to the advertising rules? This Back to Basics Compliance session provides attendees with what they need to know when creating and supervising social media and other communications. Senior staff from FINRA’s Advertising Regulation Department lead this interactive workshop and answer questions about how to stay in compliance when communicating through social networks, advertisements, email and mobile devices. The presentation covers the fundamental rule requirements, their underlying principles and practical tips.

Agenda | Monday, May 23 | continued

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A Monumental Event:

Watch the 2016 Annual Conference Promotional Video

11:45 a.m. – 12:45 p.m. General, Diversity, and CRCP Lunches

12:45 p.m. – 1:15 p.m. Dessert With Exhibitors

1:15 p.m. – 2:15 p.m. Concurrent Sessions II

00 Prioritizing Limited Resources: Tools and Templates (Small Firm Focus)Do you ever wonder how some small firm business owners and officers manage their compliance requirements and have a successful practice with limited staff? Join seasoned small firm business owners and FINRA staff as they share helpful hints and effective practices that have made their business models successful. Panelists share how they stay informed of regulatory changes and limit risk exposure, and provide daily tips and techniques they use to get the job done with limited resources.

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00 Compliance’s Role in Hiring and Firings: Tips for Screening, On-Boarding and TerminationJoin FINRA staff and industry panelists as they share their firm’s practices for hiring, ongoing monitoring and terminating personnel. Panelists also discuss their procedures for screening and training new hires.

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00 Surveillance Challenges for Institutional BusinessRisks in areas such as price fixing, layering, spoofing, insider trading and ATS abuses all point to the challenges institutional firms face in implementing surveillance practices to [or that] detect and prevent such conduct. During this session, panelists discuss how firms approach effective monitoring in an age of multi-channel communications and “speed-of-light” transactions.

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00 JOBS Act Update: Crowdfunding and Other Private OfferingsPanelists provide regulatory updates related to the JOBS Act. They discuss recent trends in Regulation D and Regulation A-plus private offerings, the recently approved crowdfunding and funding portal rules, and other compliance-related regulatory developments.

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00 Suitability (B2BC)This Back to Basics Suitability session provides a review of important suitability obligations for new compliance and legal professionals. Senior staff from FINRA’s Office of General Counsel lead a discussion on the key components of the suitability rule, including the three-main suitability obligations: – customer-specific, reasonable-basis and quantitative suitability. They also address important related case law interpretations. This session is intended to be interactive, so audience members are encouraged to participate in discussions of hypothetical situations.

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http://www.finra.org/industry/2016-finra-annual-conference-monumental-event

Continuing Education Credit Information

Attendance to this conference qualifies for continuing education credit for FINRA Institute at Wharton CRCPTM designees.


2:15 p.m. – 2:30 p.m. NETWORKING & DEMOS | BREAK

2:30 p.m. – 3:30 p.m. Concurrent Sessions III

00 Understanding Requirements for Your Annual Reports (Small Firm Focus)U.S. Securities and Exchange Act Rule 17a-5 requires FINRA member firms to file an Annual Audited Report. Amendments to Rule 17a-5 became effective in 2014 and require, among other things, that audits of brokers and dealers be performed in accordance with PCAOB standards. During this session, panelists discuss how the amendments have impacted auditors and their broker-dealer audit clients. The discussion includes observations from PCAOB inspections of auditors of broker-dealers, as well as auditor independence requirements with an emphasis on Rule 2-01 of Regulation S-X (Qualification of Accountants).

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00 Issues and Trends in AML MonitoringThis session provides guidance on suspicious activity monitoring and other AML topics. Panelists address effective steps to combat money laundering, and present an overview of standards and issues, with an emphasis on recent developments and case law. Designed for firms of all sizes, the session covers frequently asked questions and concerns. The interactive session is designed to help attendees keep pace with regulatory priorities and expectations.

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00 Bonds: 2016 and BeyondIn this session, FINRA staff and industry practitioners discuss the impacts of the rise in interest rates, risks and volatility of the bond market. Industry practitioners discuss how they mitigate the risks and how they are responding to the changes in interest rates and the global economy.

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00 Technology: What Keeps You Up At Night?This informal and interactive session is focused around a variety of current technology topics including collaboration, knowledge-management, digital customer engagement, and customer analysis and identification. Facilitated by FINRA technology practitioners, this session utilizes a workshop format to maximize discussion and collaboration.

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Experience Level: = Beginner | = Intermediate | = Advanced



3:45 p.m. – 4:45 p.m. Plenary Session II00 Top Regulatory Concerns

In this session, FINRA staff and industry practitioners discuss key areas of regulatory consideration—and how these issues impact firms and their compliance practices.

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4:45 p.m. – 5:45 p.m. Plenary Session III

00 Keynote Speakers—Political Analysts Charlie Cook and Stuart RothenbergPolitical commentators Charlie Cook and Stuart Rothenberg share their insights into the 2016 Presidential Election races. For more than two decades, Charlie Cook’s insight into the political arena has been valued for its trusted and accurate views, while Stuart Rothenberg has embodied the rare ability to report on all the political happenings in the nation with unbiased clarity.

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OPENING NIGHT RECEPTION

6:30 p.m. Buses begin loading | Marquis Rear Lobby

7:00 p.m. – 9:00 p.m. Reception | Smithsonian National Museum of American History

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Agenda | Tuesday, May 24

7:30 a.m. – 6:00 p.m. Registration & Information

7:30 a.m. – 7:00 p.m. Meet With Exhibitors


Breakfast With Member Regulation Sales Practice and ROOR Staff

8:45 a.m. – 9:45 a.m. Plenary Session IV

00 Ask FINRA Senior StaffFINRA senior staff provides an update on regulatory key issues, enforcement, market regulation programs, as well as other important topics facing the industry. Panelists address questions relating to the examination program, effective compliance practices, the implication of new and pending FINRA rules, and other important issues. Note: firm-specific questions can be discussed one-on-one with FINRA staff during conference Office Hours.

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10:00 a.m. – 11:00 a.m. Concurrent Sessions IV

00 Senior Investors — Unique Needs and Firm ConsiderationsIn this session, attendees learn the signs to look for, the questions to ask and the steps to identify potential capacity issues and other considerations when working with senior investors. Panelists share “red flags” that may indicate elder abuse and procedures their firms have implemented if abuse is suspected. In addition, panelists discuss lessons learned from the FINRA Securities Helpline for Seniors™ and proposed FINRA Rule 2165.

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00 Communications and Compliance: Finding the Right Balance (Advertising Track)Communicating with the public can be particularly challenging for those in the financial services industry. During this session, FINRA staff and industry panelists discuss new rules and recent guidance impacting marketing, social media and communications with the public.

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10:00 a.m. – 11:00 a.m. Concurrent Sessions IV | continued

00 Life Cycle of Complex ProductsA complex product is one where the average retail investor may not have the sophistication or experience to understand how the operative features of the product interact with different market conditions and how that interaction may affect potential risk and return. This session focuses on due diligence obligations and strong practices in connection with the sale of alternative investments, including private placements, structured products, business development companies, real estate investment trusts and limited partnerships. Industry practitioners discuss their practices and procedures when vetting complex products.

00 Fraud Detection and Prevention: Practical ConsiderationsThis session focuses on recent or noteworthy fraud cases. FINRA staff and industry panelists highlight emerging trends in securities fraud, provide tips to identify potential “red flags,” and discuss who to contact if a fraudulent scheme is suspected.

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00 Written Supervisory Procedures (WSPs): What You Need to Know (B2BC)Designed for compliance professionals who are new to the financial services industry, this Back to Basics Compliance session provides what you need to know when developing or reviewing Written Supervisory Procedures (WSPs). WSPs are a “living document” and should provide a road map for supervisory personnel to follow when they conduct reviews. Join FINRA senior staff and industry panelists as they define and provide guidelines for creating WSPs. Panelists also answer questions and provide practical tips.


Agenda | Tuesday, May 24 | continued



11:15 a.m. – 12:15 p.m. Concurrent Sessions V

00 The Sales Practice Examination Process (Medium | Large Firm Focus)FINRA staff members discuss the most common deficiencies noted during FINRA sales practice examinations of medium and large firms, and strategies for addressing them. Senior FINRA personnel and industry practitioners discuss lessons learned and potential related corrective actions and updates to compliance procedures.

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00 Enforcement: Current Priorities and TrendsThis session provides updates on new developments and trends in enforcement, including enforcement priorities, policy changes and areas of increased focus. Panelists highlight noteworthy decisions and settlements, and provide guidance on regulatory and compliance practices. Panelists also provide information and insight on navigating enforcement investigations and the disciplinary process.

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00 Financial and Operational Considerations and IssuesJoin industry practitioners and FINRA staff as they discuss current financial, back office and operational issues at broker-dealer firms. Panelists also provide an overview of pending and proposed rule initiatives.

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00 Developments in Pooled Investment FundsPooled investment funds are essentially a way of aggregating money from many individuals into a larger fund, benefiting investors through lower costs, diversification and professional management. This session focuses on industry challenges, due diligence obligations and strong practices. Industry practitioners discuss upcoming changes in the regulatory landscape, and their practices and procedures for selling these types of products.

11:15 a.m. – 12:30 p.m. 00 The Evolving Fiduciary LandscapeDuring this session, industry panelists and FINRA staff discuss the Department of Labor’s proposed conflicts of interest rule (the fiduciary regulation) and provide an overview of fiduciary requirements and tips to help meet your fiduciary responsibilities.

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12:15 p.m. – 1:15 p.m. Small Firm Advisory Board (SFAB) and General Lunches

1:15 p.m. – 1:45 p.m. Dessert With Exhibitors




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1:45 p.m. – 2:45 p.m. Concurrent Sessions VI

00 Branch Office Supervision and OversightDuring this session, panelists discuss supervisory policies, practices and controls to mitigate risks associated with branch office activities. Panelists also discuss how to effectively develop and implement a tailored branch office inspection program. FINRA staff also share effective supervisory and oversight practices, as well as discuss common branch office examination findings.

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00 The Future of Outsourcing and Vendor ManagementWhile outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and security regulations. During this session, FINRA staff and industry practitioners discuss policies, procedures, and resources to effectively analyze new and existing vendors and how to oversee third-party providers and their services.

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00 Considerations When Selling Alternative InvestmentsDuring this session, FINRA staff members and industry practitioners discuss private placements, structured products as well as other alternative investments, with a focus on systems and controls to mitigate the risk of unsuitable products being sold to customers.

00 Ethics in the Financial IndustryHigh ethical standards are critical to maintaining the public’s trust in financial markets and in the investment profession. This session is designed to educate attendees on the standards of ethical behavior specific to the financial services industry. Panelists provide examples and case studies of actions considered to be misconduct or illegal. Panelists also discuss how to establish effective practices with regard to maintaining ethical standards of conduct within your organization.

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00 The Do’s and Don’ts of Record Retention (B2BC)Designed for compliance professionals who are new to the financial services industry, this Back to Basics Compliance session covers the fundamentals of recordkeeping obligations, issues to consider when deciding whether to outsource recordkeeping functions, record retention requirements relating to electronic communications, and the use of electronic storage and encryption. The session also spotlights timely issues facing compliance professionals in this area, including the use of social media, Web conferencing and cloud storage. Join panelists as they identify requirements for member firms under FINRA and SEC rules, and share effective practices to help firms in their compliance efforts.

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3:00 p.m. – 4:00 p.m. Concurrent Sessions VII

00 Cybersecurity: Threats and Solutions That Impact Your Practice (Small Firm Practice)This session discusses cybersecurity threats small firms face and preventative measures they can take to protect their organization. Panelists share useful practices for designing an effective information technology (IT) risk program, determining the firm’s cybersecurity priorities, protecting sensitive systems and data—all on a limited budget.

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00 FINRA Qualification Examination Program Restructure, Registration Rules and CE OnlineThis session provides guidance on recent regulatory developments and compliance practices, as they pertain to the restructuring of the representative-level qualification examination program, finalization of the registration rules and an update on CE Online, as well as future directions for the CE Regulatory Element programs. Panelists offer practical answers to questions about these program changes.

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00 Variable Annuities: Current Issues and ConsiderationsThis session covers suitability and supervision considerations for variable annuities. Industry panelists discuss monitoring, use of exception reports and effective practices for training registered representatives on variable annuities. FINRA staff members highlight areas of focus for examiners and recent examination deficiencies related to the sale of variable annuities.

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00 Outside Business Activities: Their Business Is Your BusinessJoin industry practitioners and FINRA staff as they cover the key requirements of the outside business activity (OBA) rules and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs.

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00 Advertising Review Workshop (Advertising Track)Learn to apply the advertising rules during this highly interactive and dynamic session. Senior staff from FINRA’s Advertising Regulation Department lead this hands-on workshop on maintaining compliance when communicating with the public. Attendees first work in small groups to review mock advertisements and then present their findings. In turn, the moderators share the regulatory perspective, clarify misperceptions and answer questions.

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Live broadcast attendees: = video broadcast live over the Internet | = audio broadcast live



4:15 p.m. – 5:15 p.m. Plenary Session V

00 Compliance and Legal TrendsJoin us for a special session with senior leaders as they discuss key issues affecting the regulatory landscape. Panelists discuss trends, key focus areas and strategies that are shaping the industry. They share their thoughts on how these changes will affect compliance and how firms are evolving and responding to business, regulatory and technology issues.

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5:15 p.m. – 7:00 p.m. RECEPTION


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Agenda | Wednesday, May 25

7:30 a.m. – 11:00 a.m. Registration & Information

7:30 a.m. – 11:00 a.m. Meet With Exhibitors


9:00 a.m. – 9:45 a.m. Plenary Session VI

00 Keynote Speaker – John J. Brennan, FINRA Lead GovernorFINRA Lead Governor John J. Brennan shares his perspective on the current state of the industry and looks ahead to what the future may hold for the industry.

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9:45 a.m. – 10:00 a.m. NETWORKING | BREAK

10:00 a.m. – 11:00 a.m. Concurrent Sessions VIII

00 Cybersecurity: Ongoing Challenges and Increasing Threats (Medium | Large Firm Focus)Hear about the latest IT security threats to your clients and to your business. This panel highlights today’s prevalent threats and the essential steps you should take to protect you and your clients. Panelists also share useful practices for protecting your firm.

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00 Considerations and Practices for Supervising Independent ContractorsThis panel of FINRA staff and industry members address common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance, and shares effective industry practices.

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00 Regulatory Reporting RequirementsThis session focuses on regulatory requirements and firm practices related to reporting and disclosure. FINRA panelists highlight key reporting requirements, including requirements for maintaining Forms U4 and U5, customer complaint reporting obligations and FINRA Rule 4530 reporting obligations.

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00 Market Regulation Priorities: Detecting and Preventing MisconductThis session provides updates on market regulation priorities, including current initiatives and rulemaking. Panelists share thoughts on equities, options and fixed income compliance programs.

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00 Research Rule Developments: What’s NewFINRA staff and industry practitioners discuss the new equity and debt research rules, recent enforcement cases, and other regulatory developments and concerns in the research area.

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11:00 a.m. CONFERENCE ADJOURNS

John J. Brennan FINRA Lead Governor

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Speakers | As of May 2016

REGISTER NOW: www.finra.org/annualconference16

F. Gregory Ahern FINRA Corporate Communications and Government RelationsPatricia Albrecht FINRA Member Relations and EducationAdam Arkel FINRA Regulatory Practice and PolicyNorman Ashkenas Fidelity Brokerage Services, LLC Derek Ashworth FINRA Advertising RegulationAfshin Atabaki FINRA Office of General Counsel, Regulatory Practice and PolicySuzy Auletta LPL Financial LLCSusan Axelrod FINRA Office of Regulatory OperationsGerald Balacek JPMorgan Chase & Co. Craig Barrack Citigroup Global MarketsJ. Bradley Bennett FINRA EnforcementOrnella Bergeron FINRA Member Regulation, Office of Risk Oversight and

Operational Regulation Aimee Blinder National Planning Holdings, Inc.Eamon Bobowski FINRA TechnologyAlvin Borlaza FINRA Technology Product ManagementCommissioner Sharon Bowen

U.S. Commodity Futures Trading Commission (CFTC)

John Brady FINRA Technology AdministrationGerard Brady Morgan StanleyJohn J. Brennan FINRA Lead GovernorMari Buechner Coordinated Capital Securities, Inc.Brad Busscher Incapital LLCAnthony Cavallaro FINRA Office of Fraud Detection and Market IntelligenceEvan Charkes Bank of America Christopher Charles Wulff, Hansen & Co.Douglas Cohen FINRA Technology Product ManagementRobert Colby FINRA Chief Legal OfficeCharlie Cook Leading Authorities, Inc.Christopher Cook FINRA Office of the OmbudsmanScott Cook Charles Schwab & Co., Inc.Meredith Cordisco FINRA Office of General Counsel

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Speakers | continued

Mark Cresap Cresap, Inc.Monica Daggs CUSO Financial Services, LP and

Sorrento Pacific Financial, LLCKris Dailey FINRA Member Regulation, Office

of Risk Oversight and Operational Regulation

Kosha Dalal FINRA Office of General CounselPramit Das FINRA Advertising RegulationJames Day FINRA EnforcementGene DeMaio FINRA Market RegulationSusan DeMando Scott

FINRA Member Regulation, Office of Risk Oversight and Operational Regulation

Donna DiMaria Tessera Capital Partners, LLCMario DiTrapani FINRA Registration and DisclosureLon Dolber American Portfolios Financial

Services, Inc.Thomas Drogan FINRA Member Regulation, Office of

Sales PracticeJennifer Duran FINRA Technology Product

ManagementNoah Egorin FINRA Firm Compliance ToolsDouglas Ellenoff Ellenoff Grossman & Schole LLPChad Estep E*TRADEJohn Fechter Wells Fargo Advisors, LLCRyan Feit SeedInvestJill Fisch University of Pennsylvania Law

SchoolKimberly Flanders FINRA Advertising RegulationKarrie Foley FINRA Member Relations and

EducationCindy Foster FINRA Office of the OmbudsmanDeborah Froling Kutak Rock, LLP

Cameron Funkhouser FINRA Office of Fraud Detection and Market Intelligence

Alexander Gavis Fidelity InvestmentsJoseph George FINRA Advertising RegulationPatrick Geraghty FINRA Market Regulation, Fixed

Income Jerry Gerard FINRA Registration and Disclosure

Technology Scott Gilbert FINRA New York District OfficeThomas Gira FINRA Market RegulationSusanne Goldsmith FINRA Member Relations and

EducationAllan Goldstein Trade Informatics LLCLourdes Gonzales U.S. Securities and Exchange

Commission (SEC)Emily Gordy LPL Financial LLCGloria Greco Bank of America-Merrill Lynch,

Pierce, Fenner & Smith Inc.Erica Green FOLIOfn, Inc.Sarah Green FINRA EnforcementJeffrey Halperin MetLifeThomas Hanusik Crowell & MoringTimothy Hauser Department of LaborMarina Hayrapetyan FINRA Technology Product

ManagementNathan Headrick Triloma Securities, LLCJeffrey Herrmann FINRA New York District OfficeJohn Hickey FINRA New York District OfficeThomas Horack Signator Financial, Inc.Peg Horan NYC Elder Abuse CenterMatthew Horstmann Morgan StanleyBen Indek Morgan, Lewis & Bockius LLPBrendan Intindola FINRA Corporate Communications

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John Ivan Raymond James & AssociatesKay Johnson National Securities CorporationChip Jones FINRA Member Relations and

EducationJohn Kalohn FINRA Testing and Continuing

EducationDavid Kelley FINRA Kansas City District OfficeRick Ketchum FINRA Kaitlyn Kiernan FINRA Corporate CommunicationsRonald King Capital Investment Brokerage, Inc.Irving Klubeck Pershing LLC Mark Knoll Bressler, Amery & Ross, P.C.Lawrence Kosciulek FINRA Regulatory PolicyDemetrious Koutros FINRA Member Regulation, Office


Jon Kroeper FINRA Market Regulation, Quality of Markets

Paul Lane FINRA Office of Fraud Detection and Market Intelligence

Wendy Lanton Latern Investments, Inc.Lynn Lawson FINRA Advertising RegulationMathieu Lefevre FINRA Firm Compliance ToolsJeffrey Levine Mesirow FinancialAndrew Lipton Morgan Stanley Donald Lopezi FINRA West RegionMichael Macchiaroli U.S. Securities and Exchange

Commission (SEC)Robert Maday PCAOBKatherine Madison FINRA Market Regulation

TechnologyAnthony Maher FINRA Advertising Regulation

Bruce Maisel Western & Southern Financial Group

Robert Marchman FINRA Market Regulation, Legal Group

Paul Mathews FINRA Corporate FinancingRichard Matta Groom Law GroupCarolyn May Smith, Brown & Groover, Inc.Denise McCool Morgan StanleyJessica McCormick FINRA Corporate CommunicationsJoseph McDonald FINRA Testing and Continuing

EducationAndrew McElduff FINRA New York District OfficeAnthony McElynn E*TRADEJames McHale Wells Fargo Advisors, LLCPaul McKenney FINRA Market Regulation, Order

Audit Trail System Shawn McLaughlin McLaughlin Ryder Investments, Inc.Duer Meehan FINRA Market RegulationRoni Meikle FINRA Continuing EducationChristopher Melton Coastal Securities, Inc.Gavin Meyers FINRA Office of General CounselMarla Moskowitz-Hesse

Bank of America

Linde Murphy M.E. Allison & Co., Inc.Joseph Nadreau Wells Fargo Advisors, LLCDr. Nancy Needell Weill Cornell School of MedicineSteven O'Mara FINRA Advertising RegulationElizabeth Page FINRA Boston District OfficeThomas Pappas FINRA Advertising RegulationDeepa Parasuram FINRA Registration and Disclosure

Technology Jeffrey Pasquerella FINRA South Region

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Jennifer Perry Federal Bureau of Investigation (FBI)Ronald Peterson FINRA Registration and DisclosurePaige Pierce RW Smith & Associates, LLCHoward Plotkin RBC Capital MarketsSteven Polansky FINRA Regulatory Operations/

Shared ServicesJoseph Price FINRA Corporate Financing/

Advertising RegulationMark Quinn Cetera Financial GroupAleksandra Radakovic

JPMorgan Chase & Co.

Greg Riviello FINRA Advertising RegulationJoseph Romano Romano Brothers & Co.David Roscum FINRA Advertising RegulationHolly Ross FINRA Member Relations and

EducationLisa Roth Monahan & Roth, LLCDebra Roth Morgan Stanley Stuart Rothenberg Leading Authorities, Inc.Michael Rufino FINRA Member Regulation, Office of

Sales PracticeDonald Runkle Edgerton & Weaver, LLPRuss Ryan FINRA EnforcementEric Sams Keystone Capital CorporationJoseph Savage FINRA Regulatory PolicyAlexander Schneble Robert W Baird & Co., Inc.Susan Schroeder FINRA EnforcementAlexander Sedgwick T. Rowe Price Associates, Inc.Thomas Selman FINRA Regulatory PolicyKhalid Shah U.S. Securities and Exchange

Commission (SEC)Philip Shaikun FINRA Office of General Counsel

Joseph Sheirer FINRA New Jersey District OfficePatrick Shepard Avondale Partners, LLCDaniel Sibears FINRA Regulatory Operations/

Shared ServicesMichael Sloyer Ruane, Cunniff & Goldfarb LLCRaymond Smith Smith, Brown & Groover, Inc.Nancy Smith AARPBrennan Smith UBSTodd Snyder Snyder Kearney Amy Sochard FINRA Advertising RegulationMichael Solomon FINRA Northeast RegionWayne Souza Walton Global Holdings, LtdWilliam St. Louis FINRA New York and Long Island

District OfficesPeter Stoehr FINRA Market RegulationHarry Striplin Umpqua Investments, Inc.Gregory Sudlow FINRA Philadelphia District OfficeGregory Teese Equity Services, Inc.John Thiel Merrill Lynch Wealth Management

James Tricarico Edward JonesMary Tucker Wells Fargo Advisors, LLCRichard Vagnoni FINRA Office of Emerging Regulatory

IssuesKathleen Van Noy-Pineda

LPL Financial LLC

John Veator FINRA Member Relations and Education

Erin Vocke FINRA Dallas and New Orleans District Offices

Hardeep Walia Motif InvestingCaroline Waugaman FINRA Advertising RegulationJames Weddle Edward Jones

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Ed Wegener FINRA Midwest Region Jeffrey Weiss TD Ameritrade, Inc. James Williams Gogan & WilliamsJeffrey Williams Northwestern Mutual Investment

ServicesErnst Wintter Ernst Wintter & Associates LLPWilliam Wollman FINRA Member Regulation, Office


Michelle Wraight Pershing LLC David Wright LPL Financial LLCDouglas Wright The Investment Center, Inc.James Wrona FINRA Office of General CounselThomas Yang Bank of America Pamela Ziermann Dougherty & Company LLCAndy Zolper Raymond James Financial, Inc.Justice Zormelo FINRA Advertising Regulation


Take advantage of the many opportunities to meet with colleagues, exchange ideas and interact with FINRA committee members and FINRA senior staff.

What When Who How

Kick-Off “Happy Hour” With Exhibitors

Stop by registration to pick up your badge and gifts. Then preview products and services offered by conference exhibitors while networking and enjoying hors d’ oeuvres with fellow conference attendees.

5:00 p.m. – 7:00 p.m. All conference attendees

Attendance is open to all conference attendees; visit the Level 4 Foyer.

Sunday, May 22

Monday, May 23

Connect and Network with Industry Peers and Regulators

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0 What When Who How

General Breakfast

Network with other conference attendees.

8:00 a.m. – 10:00 a.m. All conference attendees

Attendance is open to all conference attendees; with buffet service in the Capitol/Congress Room and open seating in the Liberty Ballroom I – L.

Diversity and Inclusion Lunch

Diversity lets us develop better ideas, respond to the needs of clients, and helps ensure that people can work at their maximum potential. During this event, hear insights and perspectives on diversity and inclusion. Special guest speaker CFTC Commissioner Sharon Bowen.

11:45 a.m. – 12:45 p.m. All conference attendees

Attendance is open on a first-come, first-served basis in the Marquis Ballroom 7 – 8; registration is not required.

Certified Regulatory and Compliance Professional (CRCP) Lunch

The FINRA Institute at Wharton Certified Regulatory Compliance Professional™ (CRCP™) Program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.

Attend the CRCP luncheon—a perennial favorite conference event—to learn how to become a CRCP and hear Tom Selman interview CRCP Program Academic Co-Director Jill Fisch on emerging issues in securities law.

11:45 a.m. – 12:45 p.m. Attendees interested in learning more about the CRCP program, CRCP alumni and current participants

Attendance is open to all conference attendees and others on a first-come, first-served basis in the Marquis Ballroom 6.

Pre-registration is required.

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http://www.cvent.com/events/2016-crcp-luncheon/event-summary-acf2d8aa555b43428f9a42b3592ed9f6.aspx

https://www.cvent.com/events/2015-crcp-luncheon/registration-753b54a35d3b44d290afe26ea13ca3d8.aspx


Monday, May 23 (continued)

0 What When Who How

General Lunch


11:45 a.m. – 12:45 p.m. All conference attendees

Buffet stations are available in the Marquis Ballroom 1 – 5 with open seating.

Dessert With Exhibitors

Meet with more than 50 exhibitors showcasing compliance-related products and services.


Dessert stations are available throughout the exhibit space in the Liberty and Independence Ballroom Foyers.

Opening Night Reception at the Smithsonian National Museum of American History

Explore more than 3 million artifacts—from the original Star-Spangled Banner to Dorothy’s ruby slippers from the Wizard of Oz—while networking with regulators and peers. Participate in several interactive activities and/or by relax in one of the themed dining areas.


Meet in the hotel rear lobby beginning at 6:30 p.m. for transportation to the museum.

If you would like to bring a guest, you may do so for an additional charge of $95 per guest (guest pass includes attendance to both the Monday Opening Night Reception and Tuesday-Night Reception)— contact [email protected] or visit the registration desk to purchase guest passes.

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What When Who How

Breakfast With Member Regulation Sales Practice and ROOR Staff

Meet with senior Member Regulation staff representing ROOR and FINRA regions for informal conversations about FINRA’s examination program and priorities and other current topics.

7:30 a.m. – 8:45 a.m. Member firm attendees

Attendance is open on a first-come, first-served basis; with buffet service in the Independence Ballroom A – D. Tables marked with signs are designated for the discussions with Member Regulation staff.

General Breakfast



Attendance is open on a first-come, first-served basis; with buffet service in the Capitol/Congress Room and open seating in the Liberty Ballroom I – L.

Lunch with the FINRA Small Firm Advisory Board (SFAB)

Meet SFAB members and small firm attendees to discuss topics of particular interest to small broker-dealers. This year’s SFAB lunch also includes a 20-minute panel on how small firms can get involved with FINRA.

The SFAB is an advisory committee that ensures that issues of particular interest and concern to small firms are effectively communicated to and considered by the FINRA Board of Governors.

12:15 a.m. – 1:15 p.m. Attendees from member firms with 150 or fewer registered representatives

Attendance is open on a first-come, first-served basis in Marquis Ballroom 6; registration is not required.

General Lunch



Buffet stations are available in Marquis Ballroom 1 – 5 with open seating.

Dessert With Exhibitors

Meet with more than 50 exhibitors showcasing their compliance-related products and services.


Dessert stations are available throughout the exhibit space in the Liberty and Independence Ballroom Foyers.

Tuesday-Night Reception

Connect with regulators, exhibitors and industry peers.


Attendance is open to all conference attendees in the Liberty and Independence Ballroom Foyers.

If you would like to bring a guest, you may do so for an additional charge of $95 per guest (guest pass includes attendance to the Monday Opening Night Reception and Tuesday-Night Reception)—contact [email protected] or visit the registration desk to purchase guest passes.


0Tuesday, May 24

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Wednesday, May 25 0

Throughout the Conference

0

Follow @FINRA_Education on Twitter #finraac

What When Who How

General Breakfast



Attendance is open to all conference attendees; with buffet service in the Capitol/Congress Room and open seating in the Liberty Ballroom I – L.

By Appointment: Monday, May 23 – Wednesday, May 25

What When Who How

Office Hours With FINRA Staff

Meet one-on-one with FINRA experts to discuss firm-specific issues regarding:

00 Advertising Regulation

00 Anti-Money Laundering

00 Financial Responsibility Rules

00 Member Regulation

00 Municipal Bonds/Fixed Income

00 Qualifications, Exams and Continuing Education

00 Supervision

Throughout the conference (by appointment)

Member firm attendees

By appointment only. Sign up for a 15-minute appointment using the conference app or visit the information booth on level 3.

FINRA Tools, Tips and Resources

FINRA staff demonstrate and answer questions about FINRA systems and resources for firms, plus representatives from various departments discuss FINRA initiatives and answer questions.

Throughout the conference

All conference attendees

Visit the Marquis Ballroom Foyer during breaks between sessions.

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For more information and to register, please visit www.finra.org/annualconference16

Registration Information

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

** FINRA will verify firm size prior to confirmation.

Questions | Please direct questions about registration to (202) 728-6980 or email [email protected].

Two Ways to ParticipateAttend in person

Attend the conference in person and take advantage of unique networking opportunities to connect with industry peers and regulators and meet one-on-one with FINRA staff.

Live online broadcast

Because most sessions are video or audio broadcast live, those who can’t attend in person can participate via live online broadcast streamed over the Internet. Participants can choose a session to view, and can toggle between other live sessions in real time. Most sessions will be recorded and made available after the conference, so participants can catch up on any sessions they missed live. In addition, online participants receive access to all conference materials, and can ask questions during the conference.

Registration Fees First 100 Through

10/01/15

Up to 500 Through 3/31/16

500+ or After 3/31/16

In Person – Individual

FINRA Member (Must provide valid Firm CRD #) $795 $1,395 $1,595

Attorney (Must provide valid bar ID #) $1,095 $1,695 $1,895

Government/Regulator $795 $995 $1,195

Non-Member $1,395 $1,995 $2,195

Guest (Receptions Only) $95 $95 $95

In Person – Group* (Per Person)

FINRA Member (Must provide valid Firm CRD #) $795 $1,180 $1,340

Attorney (Must provide valid bar ID #) $1,095 $1,440 $1,610

Non-Member $1,395 $1,690 $1,860

Live Broadcast Viewer License Fees

FINRA Member (Small Firms)** $500

FINRA Member (Must provide valid Firm CRD #) $2,800

Attorney $5,000

Government/Regulator $2,800

Non-Member $5,000

How to Register

To register, visit www.finra.org/annualconference16 and complete the online registration form using your credit card. Conference registration is limited and available on a first-come, first-served basis.

Confirmation Email

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.

Cancellation Policy

The special discounted rate for the first 100 in-person registrants is non-refundable. For all other registration categories, a full refund—less a $150 processing fee—will be granted to written requests received 14 days or more prior to the start date of the program. Refunds will not be granted after May 9, 2016.

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mailto:[email protected]




Hotel and Travel Information

Hotel ReservationsA room block is available at the Marriott Marquis Washington, DC at the special rate of $329 per night, plus tax. This rate is available until April 29, 2016, or until the room block is sold out. Hotel reservations will then be accepted on a space- and rate-available basis. Reserve a room online or call (202) 824-9200 or (877) 212-5752 and identify yourself as a 2016 FINRA Annual Conference attendee.

Travel InformationFINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to the receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.

Please note that hotel reservations, cancellations, and charges are the attendee’s responsibility.

2016 FINRA Annual Conference AppOur conference app is created specifically for the Annual Conference; it empowers our attendees to network and connect, and it provides conference details at your fingertips. The app will be available for download in the near future.

The 2016 Annual Conference takes place at:

Marriott Marquis Washington, DC901 Massachusetts Avenue, NWWashington, DC 20001

Reservations may be made online or by calling the hotel for best availability and rates.

Phone: (202) 824-9200Toll free: (877) 212-5752

Marriott.com/wasco


http://www.finra.org/annualconference/hotel

http://www.marriott.com/wasco


Exhibitors

ACA Compliance Group

Actiance

AI Insight, Inc.

BasisCode Compliance, LLC

Bates Group, LLC

Bloomberg Vault

Business Information Group (BIG)

CellTrust Corporation

CFA Institute

CFM Partners, Inc.

Charles Schwab

Compliance Science

Digital Reasoning

Docupace Technologies

ERADO

Fidelity Investments

FireSolutions

FIS Global

Foreside

Global Relay

GWAVA

Hearsay Social

IA Watch

IPC

Kaplan Financial Education

Knopman Marks Financial Training

Lansare

Law360

LexisNexis

McDonald Information Service, Inc.

Mercer Consumer

MyComplianceOffice

MobileGuard, Inc.

National Regulatory Service (NRS)

NSCP

Pearson VUE

Pinpoint Global Communications

Prometric

Proofpoint

Quest CE

Red Oak Compliance Solutions

RegEd

Regulatory Compliance, LLC

SiteQuest Technologies

Smarsh

Solomon Exam Prep

StarCompliance

TD Ameritrade

Thomson Reuters

Trillium Labs, LLC

Vertafore

Wiley

WithumSmith+Brown, PC

Wolters Kluwer ELM Solutions

World Informatix

PLATINUM-LEVEL EXHIBITOR: ★ Smarsh

GOLD-LEVEL EXHIBITORS: ★ TD Ameritrade ★ Vertafore, Inc.

© 2016 FINRA. All rights reserved. 15_0325.17– 05/16


Conference exhibitors showcase a wide range of products and services for broker-dealer firms.

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2016 finra annual conference

Documents