2016 FINRA Annual Conference Program

Transcription

1 2016 FINRA Annual Conference Program May 23 25, 2016 Washington, DC Conference Agenda Wi-Fi Code Conference App Information CE Credit Information Conference Map Schedule Office Hours Information and more

2 WELCOME TO THE FINRA ANNUAL CONFERENCE Over the next three days, you ll choose from more than 45 sessions and have countless opportunities to network with peers, interact one-on-one with FINRA representatives, and learn about products and services designed to help you meet compliance requirements. We ve prepared this program to help you navigate the conference. Set up Wi-Fi Access Network: FINRA Conference Wi-Fi Code: finra1939 Download the Conference App Download the Annual Conference app for access to all conference materials including session presentations, handouts, session descriptions and to sign up for office hours. See the App Tip Sheet on pages 4-5 for more information. 1. Go to the App store on your mobile device (Play Store/App Store). 2. Search for FINRA Events in the store and download the app. 3. When the download is complete, open the app. 4. Enter your user ID (the address you used to register for the conference) and password (finra1939). 5. Select the FINRA Annual Conference. 6. Enter your user ID (the same address as above) and password (finra1939) to log in to the conference app. Review the Agenda & Floor Plan Take a few moments to plan your days by reviewing the information in this guide and in the conference app. A floor plan is located in the center of this program to help you become familiar with the conference layout. Sign Up for Office Hours FINRA staff members are available throughout the conference to discuss firm-specific issues. To schedule a 15-minute appointment, sign up using the conference App or visit the Information Booth on Level 3. FINRA experts will be on hand to discuss: Advertising Regulation Anti-Money Laundering Financial Responsibility Rules Member Regulation Municipal Bonds / Fixed Income Qualifications, Exams and Continuing Education Supervision Receive CLE, CPE or CRCP CE Credits Depending on your jurisdiction, the FINRA Annual Conference is eligible for CLE and CPE credit. Visit an Information Booth on Levels 2, 3, and 4 to scan your badge when arriving and departing each day. Don t forget to download, complete and submit your attestation form for CLE/CPE CE credit at the end of the conference. Certified Regulatory and Compliance Professionals (CRCPs) may earn CE credit for attending the conference. Visit for more information and to get credit for attending. Visit an Information Booth for Help Information Booths are available on Levels 2, 3 and 4, where you can: find general information about the event; and sign in and out of the conference for CLE and CPE credit. See the conference map on pages for locations. 2 3

3 App Functionality App Tips Registered attendees are granted access to FINRA s Annual Conference app. All materials including session presentations, handouts and the conference schedule are available through it. Within the app, you can navigate the conference venue, complete conference surveys and network with other conference attendees. Schedule: See the full event schedule. Select a specific session to access the session description, speaker information and associated materials, and take notes. Attendees: See who is in attendance. Search for a specific person or tap Everyone for the entire attendee list. To update your information or opt out of Networking, tap Profile and enter your information or uncheck Enable Networking. App Pointers My Inbox Located in My Favorites, the inbox allows you to receive and reply to messages from other attendees. To send a new message, go to the attendee list, select the attendee and tap the message bubble. Maps There are two options under Maps. The Map option provides a hotel floor plan for the conference space. The Venue option provides the hotel name, address, phone number and website. Surveys Once you start a survey, if you navigate away from the page, your answers will not be saved. Please respond to all questions and then submit the completed survey. Downloading Session Materials View session materials from the Downloads tab in each session. Once materials are opened, they are saved in My Downloads located under My Favorites, and can be ed in bulk to your account. ing Options information within the app, like notes and speaker bios, to yourself. Throughout the app are Share or Arrow icons tap the icon and choose a delivery method, then follow the on-screen steps to send the information. Additionally, from Attendees, you can other conference attendees. Speakers: See a list of the conference speakers. Search for a speaker or tap on the speaker s name to see their bio, photo and all sessions where they are presenting. Daily Details: Check out highlights, features and other activities of special note from today s conference program. My Favorites: Mark sessions, speakers, other attendees, etc., as favorites by tapping the star or calendar icon on each screen. From My Favorites, you can view your personalized schedule, selected speakers, contacts and notes. Survey: Submit feedback on the overall conference experience via the app Home Page. Session Questions: Ask a question through the app by selecting the day, then the session, and then typing your question and tapping submit. Polling: Go to the session, tap the lower right icon either a bubble with a bar graph (iphone) or a thumbs up (Android) to access polling. HELP: For onsite assistance, visit the App Help Booth located outside registration. 4 5

4 AGENDA Sunday, May 22 5: p.m. 7: p.m. Registration & Information Supreme Court Room (Level 4) 5: p.m. 7: p.m. Kick-Off Happy Hour With Exhibitors Level 4 Foyer Monday, May 23 8: a.m. 5:30 p.m. Registration & Information Supreme Court Room (Level 4) 8: a.m. 5:30 p.m. Meet With Exhibitors Level 4 Foyer 8: a.m. 10: a.m. General Continental Breakfast Buffet in Capitol/Congress Room; Seating in 8:45 a.m. 9:45 a.m. Back to Basics Compliance (B2BC) Program Welcome Session and Breakfast 10: a.m 10:30 a.m. Plenary Session I Welcome Remarks Rick Ketchum, FINRA Chairman and CEO 10:30 a.m. 10:45 a.m. BREAK 10:45 a.m. 11:45 a.m. Concurrent Sessions I Common Exam Deficiencies and Effective Practices (Small Firm Focus) Evolving Role of a Compliance Professional Digital Investment Advice Suitability: What You Need to Know Social Media and Public Communications: Helping You Get It Right (Advertising Track/B2BC) 11:45 a.m. 12:45 p.m. Diversity and Inclusion Lunch With Commissioner Sharon Bowen From the U.S. Commodity Futures Trading Commission (CFTC) Marquis Ballroom 7-8 (Level 2) 11:45 a.m. 12:45 p.m. CRCP Lunch With Academic Co-Director Jill Fisch Marquis Ballroom 6 (Level 2) 11:45 a.m. 12:45 p.m. General Lunch 12:45 p.m. 1:15 p.m. Dessert With Exhibitors LUNCH DESSERT Live Broadcast Attendees: Experience Level: = video broadcast live = audio broadcast live = Beginner = Intermediate = Advanced 6 7

5 1:15 p.m. 2:15 p.m. Concurrent Sessions II Compliance s Role in Hiring and Firings: Tips for Screening, On-Boarding and Termination Prioritizing Limited Resources: Tools and Templates (Small Firm Focus) Surveillance Challenges for Institutional Business JOBS Act Update: Crowdfunding and Other Private Offerings Suitability (B2BC) 2:15 p.m. 2:30 p.m. BREAK 3:30 p.m. 3:45 p.m. BREAK 3:45 p.m. 4:45 p.m. Plenary Session II Top Regulatory Concerns 4:45 p.m. 5:45 p.m. Plenary Session III Keynote Speakers Political Analysts Charlie Cook and Stuart Rothenberg OPENING NIGHT RECEPTION 6:30 p.m. Buses Loading Marquis Rear Lobby (Lobby Level) 7: p.m. 9: p.m. Reception Smithsonian National Museum of American History 2:30 p.m. 3:30 p.m. Concurrent Sessions III Issues and Trends in AML Monitoring Understanding Requirements for Your Annual Reports (Small Firm Focus) Bonds: 2016 and Beyond Technology: What Keeps You Up At Night? Live Broadcast Attendees: Experience Level: = video broadcast live = audio broadcast live = Beginner = Intermediate = Advanced 8 9

6 Tuesday, May 24 7:30 a.m. 6: p.m. Registration & Information Supreme Court Room (Level 4) 7:30 a.m. 7: p.m. Meet With Exhibitors Level 4 Foyer 7:30 a.m. 8:45 a.m. Breakfast With Member Regulation Sales Practice and ROOR Staff 7:30 a.m. 8:45 a.m. General Continental Breakfast Buffet in Capitol/Congress Room; Seating in 8:45 a.m. 9:45 a.m. Plenary Session IV Ask FINRA Senior Staff 9:45 a.m. 10: a.m. BREAK 11: a.m. 11:15 a.m. BREAK 11:15 a.m. 12:15 p.m. Concurrent Sessions V The Sales Practice Examination Process (Medium Large Firm Focus) The Evolving Fiduciary Landscape Note: This session ends at 12:30 p.m. Enforcement: Current Priorities and Trends Financial and Operational Considerations and Issues Developments in Pooled Investment Funds 10: a.m. 11: a.m. Concurrent Sessions IV Senior Investors Unique Needs and Firm Considerations Communications and Compliance: Finding the Right Balance (Advertising Track) Life Cycle of Complex Products Fraud Detection and Prevention: Practical Considerations Written Supervisory Procedures (WSPs): What You Need to Know (B2BC) 12:15 p.m. 1:15 p.m. SFAB Lunch Marquis Ballroom 6 (Level 2) 12:15 p.m. 1:15 p.m. General Lunch 1:15 p.m. 1:45 p.m. Dessert With Exhibitors 1:45 p.m. 2:45 p.m. Concurrent Sessions VI The Future of Outsourcing and Vendor Management Branch Office Supervision and Oversight Considerations When Selling Alternative Investments Ethics in the Financial Industry LUNCH DESSERT The Do s and Don ts of Record Retention (B2BC) 10 11

7 2:45 p.m. 3: p.m. BREAK 3: p.m. 4: p.m. Concurrent Sessions VII Cybersecurity: Threats and Solutions That Impact Your Practice (Small Firm Focus) FINRA Qualification Examination Program Restructure, Registration Rules and CE Online Variable Annuities: Current Issues and Considerations Outside Business Activities: Their Business Is Your Business Advertising Review Workshop (Advertising Track) 4: p.m. 4:15 p.m. BREAK 4:15 p.m. 5:15 p.m. Plenary Session V Compliance and Legal Trends RECEPTION WITH EXHIBITORS 5:15 p.m. 7: p.m. Wednesday, May 25 7:30 a.m. 11: a.m. Registration & Information Supreme Court Room 7:30 a.m. 11: a.m. Meet With Exhibitors Level 4 Foyer 7:30 a.m. 9: a.m. General Continental Breakfast Buffet in Capitol/Congress Room; Seating in 9: a.m. 9:45 a.m. Plenary Session VI Keynote Speaker John J. Brennan, FINRA Lead Governor 9:45 a.m. 10: a.m. BREAK 10: a.m. 11: a.m. Concurrent Sessions VIII Cybersecurity: Ongoing Challenges and Increasing Threats (Medium Large Firm Focus) Considerations and Practices for Supervising Independent Contractors Regulatory Reporting Requirements Market Regulation Priorities: Detecting and Preventing Misconduct Research Rule Developments: What s New 11: a.m. CONFERENCE ADJOURNS Live Broadcast Attendees: = video broadcast live = audio broadcast live Experience Level: = Beginner = Intermediate = Advanced 12 13

8 MARRIOTT MARQUIS WASHINGTON, DC MARQUIS BALLROOM DIVERSITY AND INCLUSION LUNCH 7 8 ALL PLENARY SESSIONS CRCP AND SFAB LUNCHES GENERAL LUNCH OFFICE HOURS INFO BREAKOUTS AND ALL B2BC SESSIONS 9 10 FINRA TOOLS, TIPS AND RESOURCES LEVEL 3 INFO LEVEL 2 APP SUPPORT Plug in to educational sessions via live broadcast. Recharge with refreshments. INDEPENDENCE BREAKOUTS BREAKOUTS M P LEVEL 4 E H EXHIBITORS Plug in and charge your mobile devices. LIBERTY BREAKOUTS AND SEATING FOR GENERAL BREAKFASTS BREAKOUTS MEMBER REG SALES PRACTICE AND ROOR BREAKFAST A D I L Monday 1: p.m. 5: p.m. POWER LOUNGE Plug In at the Power Lounge REGISTRATION AND MATERIALS Tuesday 8: a.m. 5: p.m. EXHIBITORS INFO Wednesday 8:30 a.m. 11: a.m. BUFFET FOR GENERAL BREAKFASTS 14 GOLD EXHIBITORS PLATINUM EXHIBITOR 15

9 NETWORKING AND SPECIAL EVENTS FINRA TIPS, TOOLS AND RESOURCES Take advantage of the many opportunities throughout the conference to meet with colleagues, exchange ideas and interact with FINRA committee members and FINRA senior staff. See the Conference App for more information. Certified Regulatory and Compliance Professional (CRCP) Lunch Monday, May 23 11:45 a.m. 12:45 p.m. (pre-registration required) Diversity and Inclusion Lunch Monday, May 23 11:45 a.m. 12:45 p.m. Dessert With Exhibitors Monday, May 23 12:45 p.m. 1:15 p.m. Tuesday, May 24 1:15 p.m. 1:45 p.m. Opening Night Reception at the Smithsonian National Museum of American History Monday, May 23 7: p.m. 9: p.m. Breakfast With Member Regulation Sales Practice and ROOR Staff Tuesday, May 24 7:30 a.m. 8:45 a.m. Lunch With the FINRA Small Firm Advisory Board (SFAB) Tuesday, May 24 12:15 p.m. 1:15 p.m. Tuesday Night Reception With Exhibitors Tuesday, May 24 5:15 p.m. 7: p.m. FINRA staff will be demonstrating various FINRA systems and online resources, and representatives from several FINRA departments will be available to answer questions. Visit them on Level 2 in the Marquis Ballroom Foyer. Monday, May 23 9: a.m. 5:30 p.m. Financial Professionals Gateway Concept Firm Compliance Tools: Report Center & BrokerCheck 2210 Resources Firm Gateway and E-Bill: FINRA's Financial Portal Member Relations & Education Office of the Ombudsman The Alert Investor Tuesday, May 24 8: a.m. 5:30 p.m. Advertising Regulation System Member Relations & Education Order Audit Trail System (OATS) and Tick Size Pilot Data Collection Office of the Ombudsman Request Manager and Regulatory Forms and Filings System Usability Testing The Alert Investor EXHIBITOR INFORMATION Meet with representatives from more than 50 companies showcasing products and services designed to help you meet your compliance obligations. Refer to the Exhibitor Guide or the Conference App to learn more about the companies in attendance, and visit them in the exhibit space

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11 Thanks for attending. We hope to see you next year FINRA Annual Conference May 16 18, 2017 Marriott Marquis Washington, DC PLATINUM EXHIBITOR GOLD EXHIBITORS Investor protection. Market integrity K Street, NW Washington, DC FINRA. All rights reserved. 15_ /16