Advertising Regulation Conference

Available in 2009.

 

FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with the rules governing broker-dealers’ communications with the public. Workshops address compliance considerations for products such as mutual funds, variable insurance, alternative investments and options, as well as the issues raised by electronic communications and seminars. Other topics include filing, approval, recordkeeping and supervision requirements for retail and institutional communications.

After attending this conference, you will be able to:

 

• Understand the latest rule proposals and trends in advertising compliance.
• Recognize the various categories of communications including advertisements, sales literature, correspondence, institutional sales material, independently prepared reprints and public appearances.
• Apply the approval, recordkeeping and filing requirements of Conduct Rule 2210.
• Analyze communications to determine whether they comply with the content standards of Conduct Rule 2210.
• Understand the proposed changes to Conduct Rule 2220 regarding options communications.
• Evaluate registered investment company communications for compliance with SEC Rules 482 and 34b-1.
• Apply advertising rules to popular Web-based electronic communications.
• Recognize the challenges presented by retail communications for alternative investments.
• Apply practical lessons learned from recent disciplinary actions involving communications.
• Know supervision tips for seminars, broker dealer only communications, correspondence and dually registered individuals.

 

Additional information about this conference will be provided online in 2009.

 

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences and other professional development courses are closed to the media.