washington, dc 2017 finra advertising regulation conference · assigned analyst. 2017 advertising...
TRANSCRIPT
Featuring:00 new sessions on social media and
digital communications including FINRA Regulatory Notice 17-18 and using innovative approaches for effective disclosures, updates on rule developments and interpretations; and much more;
00 two new Boot Camp sessions addressing the fundamentals of the rules and key compliance selected topics;
00 new workshops on using design-thinking principles to create more effective disclosures plus interactive, hands-on advertising review workshops; and
00 opportunities to network with peers and meet one-on-one with FINRA Advertising Regulation Department staff.
2017 FINRA
Advertising Regulation Conference
October 5 – 6, 2017
Washington, DC
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Agenda
FINRA’s Advertising Regulation Conference FINRA’s Advertising Regulation Conference provides a forum for practical guidance on complying with advertising rules and new developments involving the communications rules, and opportunities to gain guidance on the advertising standards from industry and FINRA experts.
WEDNESDAY, OCTOBER 4
5:00p.m. – 7:00p.m. Registration and Office Hours
THURSDAY, OCTOBER 5
7:30a.m. – 5:00p.m. Registration
7:30a.m. – 5:30p.m. Office Hours and AREF Demonstrations
7:30a.m. – 9:45a.m. Continental Breakfast
10:00 a.m. – 11:15 a.m. Plenary Session I – Welcome Remarks and Current Developments
00 JointhissessiontohearfromexpertsregardingchangestotheadvertisingrulesresultingfromFINRA’sretrospectiverulereview,includingtheproposaltopermitinvestmentplanningprojections,recentFINRAguidance,andeffortstomodifydisclosuremethodsandcontent.ThepanelalsoincludesadiscussionoftheFINRACorporateFinancingRuleproposal.
Welcome Remarks: Thomas Pappas,FINRAAdvertisingRegulation
Moderator: Joseph Savage,FINRAOfficeofRegulatoryAnalysis
Panelists:Alexander Gavis,FidelityInvestmentsLLCThomas Pappas,FINRAAdvertisingRegulationJoseph Price,FINRACorporateFinancing/AdvertisingRegulation
11:15a.m. – 11:30a.m. Networking Break
LIVE BROADCAST ATTENDEES:
VIDEO
AUDIO
Networking Icebreaker00 Thursday, October 5 l 9:00 a.m. – 9:45 a.m.
Limited space available. Pre-registration is recommended.
Come meet your fellow attendees at this fun and informative warm-up 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.
Moderators: Mark Bleich and Amy Sochard,FINRAAdvertisingRegulation
Panelists:Derek Ashworth,FINRAAdvertisingRegulation
Lynn Lawson,FINRAAdvertisingRegulation
Wayne Louviere,FINRAAdvertisingRegulation
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11:30 a.m. – 12:30 p.m. Concurrent Sessions I
00 Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210 DesignedforcomplianceandmarketingprofessionalswhoarenewtoFINRA’sadvertisingrulesorexperiencedpractitionersinterestedinarefresher.ThissessionprovidesanoverviewofFINRA’sCommunicationsWiththePublicrule,includingthefilingrequirements,internalapprovalandsupervision,andthecontentstandards.FINRApanelistsanswerquestionsabouthowtoapplytherulestofinancialservicescommunicationsandmarketingmaterials,whileprovidingtipsonhowtosubmitcommunicationsforreviewbyAdvertisingRegulationDepartmentstaff.
Moderator: Gregory Riviello,FINRAAdvertisingRegulation
Panelists:Stephanie Gregory,FINRAAdvertisingRegulationTimothy Holland,FINRAAdvertisingRegulationSteven O’Mara,FINRAAdvertisingRegulation
00 JOBS Act ImplementationThissessionfocussesonbusinessandregulatorydevelopmentsrelatedtotheJOBSAct,includingrecentinnovationsaroundhowfirmsconductbusinessonline.FINRAandindustryexpertsdiscusshowfirmscanstayincomplianceastheyconductpublicandprivateofferingsunderthenewrules.
Moderator: Ira Gluck,FINRAAdvertisingRegulation
Panelists:Joan Adler,EllenoffGrossman&ScholeLLPRebecca Knutson,FINRAAdvertisingRegulationAlissa (Lisa) Robinson,FINRAMembershipApplicationProgram
Agenda continued
Office Hours
Meet with FINRA Advertising Regulation staff members during office hours. Schedule a specific time through the conference app or by visiting the office hours scheduling desk at the conference. You can ask specific questions, discuss topics raised during the conference, or get to know your firm’s assigned analyst.
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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Agenda continued
11:30 a.m. – 12:30 p.m. Concurrent Sessions I | CONTINUED
00 Current Trends and Topics for Investment Company Communications JoinFINRAstaffandindustrypanelistsastheydiscussadvertisingcomplianceissuesconcerningregisteredinvestmentcompanies,includingmutualfunds,ETFsandclosed-endfunds.Thepanelincludesdiscussionsoncurrenttrends,changestoFINRARule2210andrecentregulatoryinterpretations,includingrelatedperformance.Thepanelistsalsosharetipstostrengthenthemarketingandcompliancerelationshipwhendevelopingcompliantcommunications.
Moderator: Derek Ashworth,FINRAAdvertisingRegulation
Panelists:Darrian Hopkins,TIAALynn Lawson,FINRAAdvertisingRegulationDanielle Nicholson Smith,T.RowePriceInvestmentsServices,Inc.
12:30p.m. – 1:30p.m. Lunch
1:30p.m. – 1:45p.m. Dessert With Exhibitors
Exhibitors
Conference exhibitors showcase a range of products and services for broker-dealer firms. Current exhibitors include:
00 ACA Compliance Group00 Foreside00 Hearsay Systems00 NRS00 Pinpoint Global Communications00 Proofpoint00 RedOak Compliance Solutions, LLC00 RegEd00 Smarsh
FINRA has a limited number of exhibitor opportunities remaining for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 or email [email protected] to request a conference exhibitor package.
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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1:45 p.m. – 2:45 p.m. Concurrent Sessions II
00 Current Trends and Topics for Investment Company Communications (Repeat Session)JoinFINRAstaffandindustrypanelistsastheydiscussadvertisingcomplianceissuesconcerningregisteredinvestmentcompanies,includingmutualfunds,ETFsandclosed-endfunds.Thepanelincludesdiscussionsoncurrenttrends,changestoFINRARule2210andrecentregulatoryinterpretations,includingrelatedperformance.Thepanelistsalsosharetipstostrengthenthemarketingandcompliancerelationshipwhendevelopingcompliantcommunications.
Moderator: Derek Ashworth,FINRAAdvertisingRegulation
Panelists:Darrian Hopkins,TIAALynn Lawson,FINRAAdvertisingRegulationDanielle Nicholson Smith,T.RowePriceInvestmentsServices,Inc.
00 Advertising Compliance Boot Camp: Select Topics Designedfornewcomplianceandmarketingprofessionals,FINRApanelistsprovideinsightsintothecoreconceptsofsocialmediaanddigitalcommunications,aswellasthebasicrequirementsandfrequentlyraisedregulatorycompliancequestionswithrespecttocommunicationsconcerningmutualfunds,ETFsandvariableinsuranceproducts.Thepanelalsofeaturessampleadvertisementsandimportantdo’sanddon’ts.
Moderator: Pramit Das,FINRAAdvertisingRegulation
Panelists:Steven Choi,FINRAAdvertisingRegulationJoseph George,FINRAAdvertisingRegulationWayne Louviere,FINRAAdvertisingRegulation
Agenda continued
AREF Demos
Learn about the latest enhancements to FINRA’s Advertising Regulation Electronic Filing (AREF) System, including upcoming changes that will allow firms to file websites in native format. These highly interactive demos answer all of your questions about the AREF system and filing through the batch submission process.
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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1:45 p.m. – 2:45 p.m. Concurrent Sessions II | CONTINUED
00 General Brokerage Communications TrendsPanelistsfromFINRAandtheindustrydiscussadvertisingcomplianceandsalespracticeissuesapplicabletogeneralbrokeragefirmsandtheirregisteredrepresentatives.Industrypanelistsexploreadvertisingcompliancechallengesandhowtheyaddresstheadvertisingruleswithrespecttoduallyregisteredrepresentatives,marketingmaterialscreatedbythirdparties,andnewinvestmentproducts.Thispanelalsocoverscurrentareasofinterestsuchasbusinessdevelopmentcompanies,privateplacementsandresearchreports.
Moderator: David Roscum,FINRAAdvertisingRegulation
Panelists:Stephanie Gregory,FINRAAdvertisingRegulationKimberly Johnson,LPLFinancial,LLCRobert Sondheim,E*TRADESecuritiesLLC
2:45p.m. – 3:00p.m. Networking Break
3:00 p.m. – 4:00 p.m. Concurrent Sessions III
00 Helping Small Firms Navigate the Communications RulesHowdosmallfirmsstayincompliancewiththecommunicationswiththepublicrules?FINRAstaffandindustrypanelistsansweraudiencequestionsandprovidepracticaltipsandhelpfulguidance.
Moderator: Gregory Riviello,FINRAAdvertisingRegulation
Panelists:Nanette Chern,FundsDistributor,LLCJohn Veator,FINRAMemberRelationsandEducationJames Webb,CapeSecurities,Inc.
Agenda continued
Continuing Education (CE) Credits
Attendance to this conference qualifies for Certified Regulatory and Compliance ProfessionalTM (CRCPTM), Certified Financial Planner (CFP), and Continuing Legal Education (CLE) continuing education credits.
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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3:00 p.m. – 4:00 p.m. Concurrent Sessions III | CONTINUED
00 Variable Insurance Products: Current Advertising IssuesPanelistsfromFINRAandtheindustryconductthisinteractivesession—firstwithabriefoverviewoftheessentialsforcreatingcompliantcommunications,followedbyadiscussionofspecificareasthatfrequentlyraisequestionsandregulatorychallenges.Thepanelistsalsoexplorenewdevelopments,includingcomplexstructuresofcontractsandinvestmentoptions,alongwithhowfirmsaddressthecompliancechallengestheyraise.
Moderator:Pramit Das,FINRAAdvertisingRegulation
Panelists:Richard Choi,CarltonFieldsJoseph George,FINRAAdvertisingRegulationJulie Leitwein,NationwideInsurance
00 Design Thinking WorkshopChristineWheatley,DesignStrategistatFidelityLabs,leadsthisdynamicsessiononusingdesignthinkingprinciplestocreatemoreeffectivedisclosuresincommunicationswiththepublic.
Moderator: Christine Wheatley,FidelityInvestmentsLLC
Panelists:Alexander Gavis,FidelityInvestmentsLLCThomas Pappas,FINRAAdvertisingRegulation
4:00p.m. – 4:15p.m. Networking Break
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
Agenda continued
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4:15 p.m. – 5:15 p.m. Plenary Session II – Social Media and Digital Communications
00 FINRAandindustryexpertsdiscusstheguidanceprovidedinFINRA’sRegulatory Notice 17-18.Panelistsaddresshowfirmshaveimplementedtheguidanceandrespondtofollow-upquestions.Thepanelalsolooksatdevelopingareas,suchaslivestreamingvideoandhowfirmsintegratecybersecurityanddataprivacyintodigitalcommunicationscompliance.
Moderator: Amy Sochard,FINRAAdvertisingRegulation
Panelists:Stephen Bard,WellsFargoAdvisorsTed Newton,MassMutualFinancialGroup
5:15 p.m. – 6:45 p.m. Networking Reception
Agenda continued
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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FRIDAY, OCTOBER 6
7:00a.m. – 1:30p.m. Registration
7:30a.m. – 1:30p.m. Office Hours and AREF Demonstrations
7:00a.m. – 8:30a.m. Continental Breakfast
8:30 a.m. – 9:30 a.m. Plenary Session III – FINRA Regulatory Highlights
00 Jointhissessiontohearaboutemergingregulatorydevelopmentsthatareimpactingbroker-dealers’businessnowandinthefuture.SpeakersfromaroundFINRAsharein-depthinformationonissuesrangingfromtheimpactoftheDOLruleonfirms,outsidebusinessactivitiesandFINTECHdevelopments.
Moderator: Joseph Savage,FINRAOfficeofRegulatoryAnalysis
Panelists:Meredith Cordisco,FINRAOfficeofGeneralCounselAngela Goelzer,FINRAOfficeofRegulatoryAnalysisHaimera (Haime) Workie,FINRAEmergingRegulatoryIssues
9:30a.m. – 9:45a.m. Networking Break
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
Agenda continued
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9:45 a.m. – 10:45 a.m. Concurrent Sessions IV
00 General Brokerage Communications Trends (Repeat Session)PanelistsfromFINRAandtheindustrydiscussadvertisingcomplianceandsalespracticeissuesapplicabletogeneralbrokeragefirmsandtheirregisteredrepresentatives.Industrypanelistsexploreadvertisingcompliancechallengesandhowtheyaddresstheadvertisingruleswithrespecttoduallyregisteredrepresentatives,marketingmaterialscreatedbythirdparties,andnewinvestmentproducts.Thispanelalsocoverscurrentareasofinterestsuchasbusinessdevelopmentcompanies,privateplacementsandresearchreports.
Moderator: David Roscum,FINRAAdvertisingRegulation
Panelists:Stephanie Gregory,FINRAAdvertisingRegulationKimberly Johnson,LPLFinancial,LLCRobert Sondheim,E*TRADESecuritiesLLC
00 Fixed Income CommunicationsLearnaboutthelatestdevelopmentsinfixedincomecommunicationscompliancefromFINRAandMSRBstaffexperts.Duringthissession,panelistsaddresstheMSRB’sproposedrulechangesforadvertisingandFINRA’snewconfirmationdisclosurestandards.Theregulatorsalsosharekeydo’sanddon’tsforstructuredproductsandasset-backedsecuritiescommunications.
Moderator: Amy Sochard,FINRAAdvertisingRegulation
Panelists:Pamela Ellis,MunicipalSecuritiesRulemakingBoard(MSRB)Cynthia Friedlander,FINRARegulatoryOperationsRebecca Knutson,FINRAAdvertisingRegulation
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
Agenda continued
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9:45 a.m. – 10:45 a.m. Concurrent Sessions IV | CONTINUED
00 Advertising Review WorkshopDuringthishighlyinteractiveanddynamicsession,attendeesapplyadvertisingrulestoseveralmockadvertisementsanduncoverthehiddenconcerns.Attendeesworkinsmallgroupsandpresenttheirfindingstofellowparticipants,whilemoderatorspresenttheregulatoryperspective,clarifyanymisperceptionsandanswerquestions.
Moderator: Anthony Maher,FINRAAdvertisingRegulation
Panelists:Kimberly Flanders,FINRAAdvertisingRegulationLynn Lawson,FINRAAdvertisingRegulation
10:45a.m. – 11:00a.m. Networking Break
11:00 a.m. – 12:00 p.m. Concurrent Sessions V
00 Sales Practices—A Case Study ApproachDesignedforcomplianceprofessionalswhosupervisesalesstaff,thissessionexaminestheissuesthatregisteredprincipalsconfrontintoday’sregulatoryenvironment.PanelistsrepresentingFINRAAdvertisingRegulation,EnforcementandDistrictOfficestaffaddressawiderangeoftopicsdrawnfromrecentenforcementcases,includingsupervisoryproceduresrelatedtooutsidebusinessactivities,recentexamfindingsandthedisciplinaryprocess.Theyalsohighlightpotential“redflags”andprovidesuggestionstohelpavoidcomplianceissues.
Moderator: Steven O’Mara,FINRAAdvertisingRegulation
Panelists:James Day,FINRAEnforcementJ. Martin Levine,FINRAAdvertisingRegulationElizabeth Page,FINRABostonDistrictOffice
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
Agenda continued
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11:00 a.m. – 12:00 p.m. Concurrent Sessions V | CONTINUED
00 Advertising Review Workshop (Repeat Session)Duringthishighlyinteractiveanddynamicsession,attendeesapplyadvertisingrulestoseveralmockadvertisementsanduncoverthehiddenconcerns.Attendeesworkinsmallgroupsandpresenttheirfindingstofellowparticipants,whilemoderatorspresenttheregulatoryperspective,clarifyanymisperceptionsandanswerquestions.
Moderator:Anthony Maher,FINRAAdvertisingRegulation
Panelists:Kimberly Flanders,FINRAAdvertisingRegulationLynn Lawson,FINRAAdvertisingRegulation
00 Design Thinking Workshop (Repeat Session)ChristineWheatley,DesignStrategistatFidelityLabs,leadsthisdynamicsessiononusingdesignthinkingprinciplestocreatemoreeffectivedisclosuresincommunicationswiththepublic.
Moderator: Christine Wheatley,FidelityInvestmentsLLC
Panelists:Alexander Gavis,FidelityInvestmentsLLCThomas Pappas,FINRAAdvertisingRegulation
12:00p.m. – 12:30p.m. Networking Break and Pick Up Boxed Lunch
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
Agenda continued
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12:30 p.m. – 1:30 p.m. Plenary Session IV – Session Highlights and Open Questions and Answers
00 Sessionmoderatorssummarizeandexpanduponsignificantdiscussionandquestionsfromtheirpanels.FINRAseniorstaffanswerlivequestionsfromattendees.
Moderator: Thomas Pappas,FINRAAdvertisingRegulation
Panelists:Pramit Das,FINRAAdvertisingRegulationJoseph Price,FINRACorporateFinancing/AdvertisingRegulationGregory Riviello,FINRAAdvertisingRegulationJoseph Savage,FINRAOfficeofRegulatoryAnalysisAmy Sochard,FINRAAdvertisingRegulation
1:30 p.m. Conference Adjorns
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
Agenda continued
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Speakers
Name Company
Joan Adler EllenoffGrossman&ScholeLLP
Derek Ashworth FINRAAdvertisingRegulation
Stephen Bard WellsFargoAdvisors
Mark Bleich FINRAAdvertisingRegulation
Nanette Chern FundsDistributor,LLC
Steven Choi FINRAAdvertisingRegulation
Richard Choi CarltonFields
Meredith Cordisco FINRAOfficeofGeneralCounsel
Pramit Das FINRAAdvertisingRegulation
James E. Day FINRAEnforcement
Pamela Ellis MunicipalSecuritiesRulemakingBoard(MSRB)
Kimberly Flanders FINRAAdvertisingRegulation
Cynthia Friedlander FINRARegulatoryOperations
Alexander Gavis FidelityInvestmentsLLC
Joseph George FINRAAdvertisingRegulation
Ira Gluck FINRAAdvertisingRegulation
Angela Goelzer FINRAOfficeofRegulatoryAnalysis
Stephanie Gregory FINRAAdvertisingRegulation
Timothy Holland FINRAAdvertisingRegulation
Darrian Hopkins TIAA
Kimberly Johnson LPLFinancial,LLC
Rebecca Knutson FINRAAdvertisingRegulation
Lynn Lawson FINRAAdvertisingRegulation
Julie Leitwein NationwideFinancialServices
J. Martin (Marty) Levine FINRAAdvertisingRegulation
Wayne Louviere FINRAAdvertisingRegulation
Anthony Maher FINRAAdvertisingRegulation
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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Ted Newton MassMutualFinancialGroup
Danielle Nicholson Smith T.RowePriceInvestmentsServices,Inc.
Steven O’Mara FINRAAdvertisingRegulation
Elizabeth Page FINRABostonDistrictOffice
Thomas Pappas FINRAAdvertisingRegulation
Joseph Price FINRACorporateFinancing/AdvertisingRegulation
Gregory Riviello FINRAAdvertisingRegulation
Alissa (Lisa) Robinson FINRAMembershipApplicationProgram
David Roscum FINRAAdvertisingRegulation
Joseph Savage FINRAOfficeofRegulatoryAnalysis
Amy Sochard FINRAAdvertisingRegulation
Robert Sondheim E*TRADESecuritiesLLC
John Veator FINRAMemberRelationsandEducation
James Webb CapeSecurities,Inc.
Christine Wheatley FidelityInvestmentsLLC
Haimera (Haime) Workie FINRAEmergingRegulatoryIssues
Speakers continued
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
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Advertising Regulation StaffInAttendance
Name Company
Michael Berkovich FINRAAdvertisingRegulation
Nicole Cashaw FINRAAdvertisingRegulation
MaryBeth Clarke FINRAAdvertisingRegulation
John Cunningham FINRAAdvertisingRegulation
Nancy Damiano FINRAAdvertisingRegulation
Timothy Dennis FINRAAdvertisingRegulation
Thomas Dineen FINRAAdvertisingRegulation
Brian Finnell FINRAAdvertisingRegulation
David Kim FINRAAdvertisingRegulation
Susan Kole FINRAAdvertisingRegulation
Steve Mayhew FINRAAdvertisingRegulation
Meredith Mesa FINRAAdvertisingRegulation
Natlyn Murrain FINRAAdvertisingRegulation
Tracy Ofori FINRAAdvertisingRegulation
Matthew Pinto FINRAAdvertisingRegulation
Jessica Polhamus FINRAAdvertisingRegulation
Bradley Raymond FINRAAdvertisingRegulation
Theodora Richter FINRAAdvertisingRegulation
Jeffrey Salisbury FINRAAdvertisingRegulation
Kristina Shaw FINRAAdvertisingRegulation
Cathy Siewick FINRAAdvertisingRegulation
Mark E. Smith FINRAAdvertisingRegulation
Evan Spevak FINRAAdvertisingRegulation
Caroline Waugaman FINRAAdvertisingRegulation
Justice Zormelo FINRAAdvertisingRegulation
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How to RegisterToregister,visitwww.finra.org/adregconference2017andcompletetheonlineregistrationformusingyourcreditcard.Conferenceregistrationislimitedandavailableonafirst-come,first-servedbasis.Ifyouexperiencedifficultiesregistering,pleasecall(202)[email protected].
Confirmation Email
Youwillreceiveanemailconfirmationofyourregistration.Pleasemakesureyourregistrationhasbeenconfirmedpriortoyourarrivalonsiteattheconference.
Cancellation Policy
Thespecialdiscountedrateforthefirst100in-personregistrantsisnon-refundable.Forallotherregistrationcategories,afullrefund—lessa$100processingfee—willbegrantedtowrittenrequestsreceived14daysormorepriortothestartdateoftheconference.WeregretthatrefundswillnotgrantedafterSeptember21,2017.
Fees
Registration
* Availabletofirmsregisteringthree(3)ormoreemployeesatthesametimewiththesamecreditcard.Pleasefollowinstructionsinregistrationsystem.
In Person – Individual First 100 Through 7/28/17
100 + After 7/28/17
FINRA Member Firm | must provide valid CRD # $900 $1,000
Non-Member $1,350 $1,500
Government / Regulator $600 $700
In Person – Group* (Per Person)
FINRA Member Firm | must provide valid CRD # $800 $900
Non-Member $1,200 $1,300
Live Broadcast Multi-Viewer License Fees
FINRAMember(SmallFirm) $300
FINRAMemberFirm $600
Non-Member $1,000
Two Ways to Participate
Attend in person
Attend the conference in person and take advantage of unique networking opportunities to connect with industry peers and regulators.
Live online broadcast
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.
Contact Information
Ifyouhaveanyquestionsregardingthisconferenceorforinformationaboutotheradministrativepolicies,pleasecall(800)321-6273.Forregistrationinformation,pleasecontact(202)728-6980.
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Hotel and Travel
The 2017 Advertising Regulation Conference takes place at:Renaissance Washington, DC Downtown Hotel 999 Ninth Street, NW Washington, DC 20001
Toll free: (800) 257-7544
Hotel Reservations
AroomblockhasbeenaddedattheRenaissanceWashington,DCDowntownHotel.Theroomrateof$319,plustaxpernight,isavailableuntilSeptember18,2017,oruntiltheroomblockissoldout.Hotelreservationswillthenbeacceptedonaspace-andrate-availablebasis.Reserveyourhotelroomonline,orcall(202)898-9000andidentifyyourselfasanattendeeofFINRA’sAdvertisingRegulationConference.
Travel Information
FINRAsuggeststhatyoudonotpurchaserestrictedornonrefundableticketsfortraveltotheconference,especiallypriortothereceiptofyourregistrationconfirmation.FINRAassumesnoliabilityforpenaltiesorfareincreasesshouldtheconferenceselloutorintheunlikelyeventthatchangestotheconferencedatesand/orlocationbecomenecessary. Please note thathotelreservations,cancellations,andchargesaretheattendee’sresponsibility.
2017 Advertising Regulation Conference | #FinraAdReg Register at www.finra.org/adregconference2017
2017 FINRA Advertising Regulation Conference AppOurconferenceappiscreatedspecificallyforAdvertisingRegulationattendees;itempowersourattendeestonetworkandconnect,anditprovidesconferencedetailsatyourfingertips.Theappwillbeavailablefordownloadinthenearfuture.Itincludesinformationabout:
00 speakers;00 sessions;00 exhibitors;00 continuingeducation;00 maps;and00 networkingopportunities.