December 6 – 7, 2017

Ft. Lauderdale, FL 2017 FINRA

South Region Compliance Seminar

00 Hear perspectives, strategies and guidance on issues affecting the securities industry including AML, cybersecurity, fixed income and more.

00 Network and share ideas with peers, FINRA staff and industry practitioners.

00 Earn CRCP, CLE and CFP CE credits.

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Agenda

Tuesday, December 5

6:00p.m. – 7:00p.m. RegistrationandInformation

Wednesday, December 6

8:00a.m. – 5:00p.m. RegistrationandInformation

8:00a.m. – 10:00a.m. ContinentalBreakfast

10:00a.m. – 10:05a.m. Welcome Remarks

10:05 a.m. – 11:05 a.m. Plenary Session I – Examination Priorities

00 JoinFINRApanelistsastheyaddresscurrentregulatoryinitiatives,prioritiesandfindings.ThesessionincludesanextendedQ&Asegmenttoallowattendeestogetagreaterunderstandingofspecificexam-relatedinformation.

Panelists: • Yvette Panetta,FINRABocaRatonDistrictOffice• Blake Snyder,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)• Daniel Stefek,FINRAAtlantaDistrictOffice• Erin Vocke,FINRADallasandNewOrleansDistrictOffice

11:05a.m. –11:15a.m. NetworkingBreak

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

00 Effective Practices for Managing Conflicts of Interest and Considerations Related to Dual RegistrationThissessionexploresmajortypesofconflictsofinterestfacingfirmsandexaminesthetypicalsupervisorysystemsusedtoaddressthoseconflicts.Inaddition,thesessionprovidespracticalinsightregardinghowfirmscanmanagedualregistrationissues.

Moderator:• Alistair Johnson,FINRANewOrleansDistrictOffice

Panelists: • Ronald Klimas,SecuritiesServicesNetwork,Inc.• Joelle Morris,FINRADallasDistrictOffice• Mary Simonson,AdvisorGroup,Inc.

FINRA’s South Region Compliance Seminar

The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues. Throughout the event, staff members from the Atlanta, Boca Raton, Dallas and New Orleans offices, as well as other FINRA senior staff, will be available to discuss matters of interest with you.

2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017

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11:15 p.m. – 12:15 p.m. Concurrent Sessions I | continued

00 Product SuitabilityJoinFINRAstaffandindustrypractitionersastheydiscussproductsuitabilityandtheproactivestepsfirmscantaketobestserveinvestorsandreduceregulatoryrisk.

Moderator:• Elizabeth Mauro,FINRABocaRatonDistrictOffice

Panelists: • William Givens,MorganStanley• Casey Harper,FINRADallasDistrictOffice• Caroline Hall,RaymondJamesFinancial,Inc.

00 Demystifying Cybersecurity: Effective Practices to Help Strengthen Your Program (offered twice)Thissessionprovidesguidanceonusefulpracticesforprotectingcustomerinformation,whattodointheeventofadatabreach,andtacklingothercybersecuritysituations.Doyouhaveaplanthatiscomprehensiveorrobust?Areyoueffectivelyprotectingyourfirmandyourclientsfromthreats?Whetheryouarejuststartingoutorupdatingawell-documentedapproach,thissessionprovidesactionableeffectivepracticesandhighlightsin-depthtoolstohelpyoustrengthenyourcybersecurityprogram.

Moderator:• Gregory Brown,FINRADallasDistrictOffice

Panelists: • David Kelley,FINRAKansasCityDistrictOffice• Kevin Rosen,Shutts&BowenLLP• Andy Zolper,RaymondJamesFinancial,Inc.

12:15p.m.– 1:15p.m. NetworkingLunch

1:15p.m.– 1:45p.m. Keynote Address: Susan Axelrod, FINRA Office of Regulatory Operations

1:45p.m.– 2:00p.m. NetworkingBreak

2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017

Agenda continued

Continuing Education (CE) Credits

Attendance to this seminar qualifies for Certified Regulatory and Compliance ProfessionalTM (CRCPTM), Certified Financial Planner (CFP) and Continuing Legal Education (CLE) continuing education credits.

CLE attendees will receive a five (5)-credit CLE CE voucher from NACLE (National Academy of Continuing Legal Education) for attending the South Region Compliance Seminar.

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2:00 p.m. – 3:00 p.m. Concurrent Sessions II

00 Compliance Tools Workshop (offered twice) JoinFINRAstaffastheydemonstratetoolsexaminersusethatcomplianceandAMLpersonnelatfirmscanusethemselvestoidentifypatternsofAMLandcompliancerisk,maximizetheeffectivenessofpublic-recordsearchesandmore.ThepanelalsocoverscommonindustrypracticesformitigatingvariousAMLandcompliancerisks.

Moderator: • Jason Foye,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)

Panelists: • Peter Gonzalez,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)• Shawn Murray,FINRABocaRatonDistrictOffice

00 Writing and Maintaining WSPsThissessionprovidesguidanceandpracticaltipsfordevelopingorreviewingwrittensupervisoryprocedures(WSPs).WSPsare“livingdocuments,”andshouldprovidearoadmapforsupervisorypersonneltofollowwhentheyconductreviews.JoinFINRAseniorstaffandindustrypanelistsastheydefineandprovideguidelinesforcreatingWSPs.

Moderator: • Gargi Sharma, FINRA Boca Raton District Office

Panelists: • Mitchell (Mitch) Atkins,FirstMarkRegulatorySolutions,Inc.• Neivon Morantez,FINRANewOrleansDistrictOffice• Kathryn (Kate) Wilson,FINRAEnforcement

00 Emerging Regulatory Issues and TrendsDuringthissession,panelistsdiscussnewandemergingareasandtrendsinthesecuritiesindustry,suchasblockchaintechnology,initialcoinofferings,onlinecapital-raisingplatformsandmuchmore.

Moderator: • Michael Yuan,FINRADallasDistrictOffice

Panelists: • Bill Clark, MicroVenturesMarketplace• Christopher Haines,EdwardJones• Kaye Harwood,FINRABocaRatonDistrictOffice• Kavita Jain,FINRAEmergingRegulatoryIssues

3:00p.m.– 3:15p.m. NetworkingBreak

Agenda continued

2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017

4 2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017

Agenda continued

3:15 p.m. – 4:15 p.m. Concurrent Sessions III

00 Senior InvestorsDuringthissession,attendeeslearnthesignstolookfor,thequestionstoask,andthestepstoidentifypotentialcapacityissuesandotherconsiderationswhenworkingwithseniorinvestors.Panelistsshare“redflags”thatmayindicateelderabuseandprocedurestheirfirmshaveimplementedifabuseissuspected.Inaddition,panelistsdiscusslessonslearnedfromtheFINRASecuritiesHelplineforSeniors®andFINRARule2165.

Moderator: • Brooke Hickman-Elgrim,FINRASeniorHelpline

Panelists: • Rosemary Magee,RoyalAllianceAssociates,Inc.• Amanda Senn,AlabamaSecuritiesCommission• Mary Tucker,WellsFargoAdvisors• Jeanette Wingler,FINRAOfficeofGeneralCounsel

00 Demystifying Cybersecurity: Effective Practices to Help Strengthen Your Program (offered twice)Thissessionprovidesguidanceonusefulpracticesforprotectingcustomerinformation,whattodointheeventofadatabreach,andtacklingothercybersecuritysituations.Doyouhaveaplanthatiscomprehensiveorrobust?Areyoueffectivelyprotectingyourfirmandyourclientsfromthreats?Whetheryouarejuststartingoutorupdatingawell-documentedapproach,thissessionprovidesactionableeffectivepracticesandhighlightsin-depthtoolstohelpyoustrengthenyourcybersecurityprogram.

Moderator: • Gregory Brown,FINRADallasDistrictOffice

Panelists: • David Kelley,FINRAKansasCityDistrictOffice• Kevin Rosen,Shutts&BowenLLP• Andy Zolper,RaymondJamesFinancial,Inc.

Featured Networking Opportunity

Meet one-on-one with regulatory coordinators from FINRA’s District 7 (Boca Raton) during lunch to discuss firm-specific questions.

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3:15 p.m. – 4:15 p.m. Concurrent Sessions III | continued

00 Bonds: 2017 and BeyondDuringthissession,FINRAstaffandindustrypractitionersdiscusscurrentdevelopmentsandfuturetrendsinthefixedincomemarket,includingimplementationofTRACE®reportingforU.S.Treasurysecuritiesandfixedincomemarketstructureissues.

Moderator: • Grant Gibbons,FINRANewOrleansDistrictOffice

Panelists: • Robert Coulter,HilltopSecurities,Inc.• Gene Davis,FINRADallasDistrictOffice• Cynthia Friedlander,FINRARegulatoryOperations,FixedIncome

Regulation• Gail Marshall,MunicipalSecuritiesRulemakingBoard(MSRB)

4:15p.m.– 4:30p.m. NetworkingBreak

4:30 p.m. – 5:30 p.m. Plenary Session II – Ask FINRA Staff

00 Duringthissession,FINRAseniorstaffupdateattendeesonkeyissuesfacingtheindustryandaddressquestionsrelatingtotheexaminationprogram,theimplicationofnewandpendingFINRArules,andotherimportantissues.

Moderator: • Susan Axelrod,FINRAOfficeofRegulatoryOperations

Panelists: • Jessica Hopper,FINRAEnforcement• Thomas Nelli,FINRASouthRegion• Michael Rufino,FINRAMemberRegulation,SalesPractice

5:30 p.m. – 6:30 p.m. Networking Reception

2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017

Agenda continued

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Thursday, December 7

7:30a.m.–12:00p.m. RegistrationandInformation

7:30a.m.– 8:30a.m. ContinentalBreakfast

8:30 a.m. – 9:30 a.m. Plenary Session III – Branch Office Inspections: Implementing a Risk-Based Program and Identifying Red Flags

00 Thispaneldiscussespracticesobservedinimplementingeffectiverisk-basedbranchofficeinspectionprograms.ThepanelalsofeaturesadiscussionofcommonfindingsandobservationsfromFINRAbranchexams,includingexamplesofredflagsidentified.

Moderator: • Brooks Brown,FINRAAtlantaDistrictOffice

Panelists: • Gene Gunderson,SynovusSecurities,Inc.• James Hooks,LPLFinancial• Christopher Putt,AtlantaDistrictOffice

9:30a.m.– 9:45a.m. NetworkingBreak

9:45 a.m. – 10:45 a.m. Concurrent Sessions IV

00 Compliance Tools Workshop (offered twice) JoinFINRAstaffastheydemonstratetoolsexaminersusethatcomplianceandAMLpersonnelatfirmscanusethemselvestoidentifypatternsofAMLandcompliancerisk,maximizetheeffectivenessofpublic-recordsearchesandmore.ThepanelalsocoverscommonindustrypracticesformitigatingvariousAMLandcompliancerisks.

Moderator: • Jason Foye,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)

Panelists: • Peter Gonzalez,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)• Shawn Murray,FINRABocaRatonDistrictOffice

2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017

Agenda continued

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9:45 a.m. – 10:45 a.m. Concurrent Sessions IV | continued

00 Outside Business Activities/Private Securities TransactionsOutsidebusinessactivities(OBAs)andprivatesecuritiestransactions(PSTs)areregulatoryandexaminationpriorities,astheycanbothresultinconflictsofinterestthatfirmsmustunderstandandmitigate.JoinindustrypractitionersandFINRAstaffastheycoverconflictsrelatedtoOBAsandPSTs,andthekeylegalrequirementsof,andpracticaltipsfor,supervisingsuchactivities.

Moderator: • Dawn Calonge,FINRABocaRatonDistrictOffice

Panelist: • Penny Blackwell,FINRAEnforcement• Kenneth Fasone,LPLFinancial• Christoph Stoehrfeldt,FINRABocaRatonDistrictOffice

00 Continuing Membership Application (CMA)AttendthissessiontohearaboutFINRA’sContinuingMembershipApplication(CMA)process.Specifically,attendeeslearnaboutFINRA’sexpeditedreviewprocessandhowFINRAstaffevaluatesbusinesschanges.PanelistsalsodiscusshowattendeescanproactivelyaddresscommonissuesfoundtocausedelaysorotherwiseimpactCMAs.Othertopicsdiscussedincludemembershipagreementchangesandmaterialityconsultations.

Moderator: • Clint Johnson,FINRAAtlantaDistrictOffice

Panelists: • Alissa (Lisa) Robinson,FINRAMembershipApplicationProgram• Christoph Stoehrfeldt,FINRABocaRatonDistrictOffice• James Webb,CapSecurities,Inc.

10:45a.m.–11:00a.m. NetworkingBreak

11:00 a.m. – 12:00 p.m. Plenary Session IV – Hiring Practices and High-Risk Brokers

00 JoinFINRAstaffandindustrypanelistsastheysharetheirfirm’spracticesforhiringandongoingmonitoringofpersonnel.Panelistsalsodiscusstheirproceduresforscreeningandtrainingnewhires,andfocusonhigh-riskbrokerredflags

Moderator: • Scott Maestri,FINRADallasDistrictOffice

Panelists: • John Clark,FINRABocaRatonDistrictOffice• Jacob Palmer,SWBCInvestmentServices,LLC• Michael Pedlow,KestraInvestmentServices

12:00 p.m. Closing Remarks/Seminar Adjourns | Thomas Nelli, FINRA South Region

Agenda continued

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How to RegisterToregister,visitwww.finra.org/southregion2017andcompletetheonlineregistrationformusingyourcreditcard.Conferenceregistrationislimitedandavailableonafirst-come,first-servedbasis.Ifyouexperiencedifficultiesregistering,pleasecall(202)728-6980orsendanemailtoconreg@finra.org.

Confirmation Email

Youwillreceiveanemailconfirmationofyourregistration.Pleasemakesureyourregistrationhasbeenconfirmedpriortoyourarrivalonsiteattheconference.

Cancellation Policy

Thespecialdiscountedrateforthefirst50in-personregistrantsisnon-refundable.Forallotherregistrationcategories,afullrefund—lessa$75processingfee—willbegrantedtowrittenrequestsreceived14daysormorepriortothestartoftheconference.WeregretthatrefundswillnotbegrantedafterNovember22,2017.

Fees

Registration

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

In Person – Individual First 50 Through September 7

50+ or After September 7

FINRA Member Firm | must provide valid CRD # $550 $650

Non-Member $995 $1,195

Government / Regulator $450 $550

In Person – Group Rate* (Per Person) First 50 Through September 1

50+ or After September 1

FINRA Member Firm | must provide valid CRD # $450 $550

Non-Member $950 $1,050

Seminarfeesincludeattendancetoallsessionsandconferencematerials,aneveningreceptiononWednesday,andcontinentalbreakfastonThursday.

Contact Information

Ifyouhaveanyquestionsregardingthisconferenceorforinformationaboutotheradministrativepolicies,pleasecall(800)321-6273.Forregistrationinformation,pleasecontact(202)728-6980.

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Hotel and Travel

The 2017 South Region Compliance Seminar takes place at:Marriott Harbor Beach Resort and Spa 3030 Holiday Drive Fort Lauderdale, FL 33316

Reservationsmaybemadeonlineorbycallingthehotelforbestavailabilityandrates.

Hotel Reservations

AroomblockhasbeenaddedattheMarriottHarborBeachResortandSpa,locatedat3030HolidayDrive,FortLauderdale,FL33316.Theroomrateof$219,plustaxpernight,isavailableuntilNovember6,2017,oruntiltheroomblockissoldout.

Hotelreservationswillthenbeacceptedonaspace-andrate-availablebasis.Reserveyourhotelroomonline orcall800-222-6543andidentifyyourselfasanattendeeofthe2017FINRASouthRegionComplianceSeminar.

Travel Information

FINRAsuggeststhatyoudonotpurchaserestrictedornonrefundableticketsfortraveltotheconference,especiallypriortothereceiptofyourregistrationconfirmation.FINRAassumesnoliabilityforpenaltiesorfareincreasesshouldtheconferenceselloutorintheunlikelyeventthatchangestotheconferencedatesand/orlocationbecomenecessary.

Pleasenotethathotelreservations,cancellations,andchargesaretheattendee’sresponsibility.

FINRA South Region Compliance Seminar AppOurconferenceappiscreatedspecificallyforSouthRegionComplianceSeminarattendees;itempowersourattendeestonetworkandconnect,anditprovidesconferencedetailsatyourfingertips.Theappwillbeavailablefordownloadinthenearfuture.Itincludesinformationabout:

00 speakers;00 sessions;00 exhibitors;00 continuingeducation;00 maps;and00 networkingopportunities.

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Speakers

2017 FINRA South Region Compliance Seminar | #FinraSFC Register at www.finra.org/southregion2017

Full Name Company

Mitchell (Mitch) Atkins FirstMarkRegulatorySolutions,Inc.

Susan Axelrod FINRAOfficeofRegulatoryOperations

Penny Blackwell FINRAEnforcement

Gregory Brown FINRADallasDistrictOffice

Brooks Brown FINRAAtlantaDistrictOffice

Angela Brunelle FINRABocaRatonDistrictOffice

Dawn Calonge FINRABocaRatonDistrictOffice

Bill Clark MicroVenturesMarketplace

John Clark FINRABocaRatonDistrictOffice

Robert Coulter HilltopSecurities,Inc.

Gene Davis FINRANewOrleansDistrictOffice

Jason Foye FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)

Sharon Frankel FINRABocaRatonDistrictOffice

Kenneth Fasone LPLFinancial

Cynthia Friedlander FINRARegulatoryOperations,FixedIncomeRegulation

Grant Gibbons FINRANewOrleansDistrictOffice

William Givens MorganStanley

Peter Gonzalez FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)

Gene Gunderson SynovusSecurities,Inc.

Christopher Haines EdwardJones

Caroline Hall RaymondJamesFinancial,Inc.

Casey Harper FINRADallasDistrictOffice

Kaye Harwood FINRABocaRatonDistrictOffice

Brooke Hickman-Elgrim FINRASeniorHelpline

Jessica Hopper FINRAEnforcement

James Hooks LPLFinancial

Kavita Jain FINRAEmergingRegulatoryIssues

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Clinton Johnson FINRAAtlantaDistrictOffice

Alistair Johnson FINRANewOrleansDistrictOffice

David Kelley FINRAKansasCityDistrictOffice

Ronald Klimas SecuritiesServiceNetwork,Inc.

Mayte Lujan FINRABocaRatonDistrictOffice

Scott Maestri FINRADallasDistrictOffice

Rosemary Magee RoyalAllianceAssociates,Inc.

Gail Marshall MunicipalSecuritiesRulemakingBoard(MSRB)

Elizabeth Mauro FINRABocaRatonDistrictOffice

Neivon Morantez FINRANewOrleansDistrictOffice

Joelle Morris FINRADallasDistrictOffice

Shawn Murray FINRABocaRatonDistrictOffice

Thomas Nelli FINRASouthRegion

Laura Pagnanelli FINRABocaRatonDistrictOffice

Jacob Palmer SWBCInvestmentServices,LLC

Yvette Panetta FINRABocaRatonDistrictOffice

Michael Pedlow KestraInvestmentServices

Christopher Putt FINRAAtlantaDistrictOffice

Lisa Reid FINRABocaRatonDistrictOffice

Alissa (Lisa) Robinson FINRAMembershipApplicationProgram

Kevin Rosen Shutts&BowenLLP

Michael Rufino FINRAMemberRegulation,SalesPractice

Edward Rumph FINRABocaRatonDistrictOffice

Amanda Senn AlabamaSecuritiesCommission

Gargi Sharma FINRABocaRatonDistrictOffice

Mary Simonson AdvisorGroup,Inc.

Blake Snyder FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)

Daniel Stefek FINRAAtlantaDistrictOffice

2017 FINRA South Region Compliance Seminar | #FinraSFC Register at www.finra.org/southregion2017

Speakers continued

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Christoph Stoehrfeldt FINRABocaRatonDistrictOffice

Mary Tucker WellsFargoAdvisors

Erin Vocke FINRADallasandNewOrleansDistrictOffices

James Webb CapeSecurities,Inc.

Clifford Wexler FINRABocaRatonDistrictOffice

Kathryn (Kate) Wilson FINRAEnforcement

Jeanette Wingler FINRAOfficeofGeneralCounsel

Melinda Wolfe KovackSecurities,Inc.

Michael Yuan FINRADallasDistrictOffice

Andy Zolper RaymondJamesFinancial,Inc.

2017 FINRA South Region Compliance Seminar | #FinraSFC Register at www.finra.org/southregion2017

Speakers continued