2008 Fall Securities Conference
Registration is now open for the premier fall event for securities professionals.
Annual Fall Securities Conference
Wednesday, October 22 – Friday, October 24
FINRA’s annual Fall Securities Conference provides comprehensive updates on securities industry rules, regulations and compliance issues. Speakers from securities firms, FINRA and other regulators address regulatory and compliance updates and facilitate workshop discussions and Q&A. Workshop sessions cover new products, insider trading, small firm compliance, anti-money laundering, examinations and supervision, among others.
Advertising Regulation Pre-Conference
Wednesday, October 22
This pre-conference focuses on variable insurance products and alternative investments, two areas that present challenges for creating compliant communications. The session covers compliance topics related to variable insurance products drawn from current industry issues and trends. The panelists discuss the recently proposed revisions to the Variable Product Guidelines, which address supplemental hypothetical illustrations, the presentation and illustration of riders, and the presentation of different types of non-standardized historical performance. During this session, you can also test your knowledge of variable annuity and variable life insurance advertising compliance through hands-on exercises, and you can ask questions during a Q&A session. The session also explores the unique regulatory issues around advertisements and sales literature for alternative investment products such as direct participation programs, hedge funds, REITs, TICs and more.
Additional information including the workshops descriptions will be available online in August 2008.
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Wednesday, October 22 |
Advertising Regulation Pre-Conference |
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9:00 a.m. – 6:30 p.m. |
Registration |
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12:00 p.m. – 1:30 p.m. |
Lunch |
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1:30 p.m. – 5:30 p.m. |
Advertising Regulation Pre-Conference |
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1:30 p.m. – 1:45 p.m. |
Introduction |
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1:45 p.m. – 3:15 p.m. |
Compliance Challenges in Variable Insurance Product Communications |
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3:15 p.m. – 3:30 p.m. |
Break |
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3:30 p.m. – 5:00 p.m. |
Communications for Alternative Investment Products |
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5:00 p.m. – 6:30 p.m.
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Welcome Reception
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Thursday, October 23 |
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7:00 a.m. – 6:30 p.m. |
Registration |
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7:00 a.m. – 8:30 a.m. |
Continental Breakfast |
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8:30 a.m. – 9:30 a.m. |
Welcome Remarks and Keynote Address |
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9:30 a.m. – 9:45 a.m. |
Break |
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9:45 a.m. – 10:45 a.m. |
Plenary Session - Managing Conflicts |
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10:45 a.m. – 11:00 a.m. |
Break |
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11:00 a.m. – 12:15 p.m.
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Concurrent Sessions I
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12:15 p.m. – 1:30 p.m. |
Lunch |
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1:30 p.m. – 2:45 p.m.
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Concurrent Sessions II
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2:45 p.m. – 3:00 p.m. |
Break |
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3:00 p.m. – 3:30 p.m. |
Rulebook Consolidation Update |
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3:30 p.m. – 5:00 p.m. |
Ask FINRA Staff |
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5:00 p.m. – 6:30 p.m.
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Reception with Sponsors
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Friday, October 24 |
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7:30 a.m. – 9:00 a.m. |
Breakfast with FINRA Staff |
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9:00 a.m. – 10:15 a.m.
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Concurrent Sessions III
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10:15 a.m. – 10:30 a.m. |
Break |
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10:30 a.m. – 11:45 a.m.
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Concurrent Sessions IV
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11:45 a.m. |
Conference Adjourns |
Plenary Session
Managing Conflicts
This plenary session focuses on how conflicts of interest arise in the industry, and ways firms and registered representatives manage conflicts in an ethical and compliant manner. Special emphasis is placed on the business practices that give rise to conflicts and the practical steps that firms and brokers can take to ensure that conflicts are handled appropriately.
Concurrent Sessions
Adjudication Process
Panelists clarify the adjudication process and explain disciplinary hearings, hearing panels, the hearing officer's role, and how the hearing panel arrives at and explains its decision. The session also covers discovery, the post-complaint settlement process and the appeals process of FINRA's National Adjudicatory Council. Two of the panelists will be industry professionals who have sat as hearing panelists on FINRA cases.
Current Financial and Operational Challenges
Regulatory experts discuss financial and operational challenges in the current market environment and provide insights into maintaining compliance with complex rules and interpretations. The session covers compliance with the net capital and customer protection rules as well as other operations rules. Panelists share regulatory priorities including recent examination findings.
Current Perspectives on Insider Trading
Experts provide an overview of current regulatory issues and trends related to insider trading. Recent enforcement actions have shown the need to be vigilant in this area. Discussion includes ways to prevent and deter the leakage of material, non-public information.
Dispute Resolution Process
This session introduces participants to FINRA's arbitration and mediation programs. Experienced attorneys, arbitrators and FINRA senior staff provide insights on successfully navigating the dispute resolution process. Using a hypothetical arbitration claim, the moderator poses arbitration and mediation questions to panelists and elicits audience participation.
Doing Business Outside of the U.S.
Regulators from Canada, Mexico and Japan explain the requirements for U.S. firms that currently do business or are considering doing business in their respective countries. Topics addressed include registration requirements, marketing and solicitation of customers.
Leveraging the Exam Process to Improve Firm Compliance Practices
Experts discuss how to use the examination process, priorities and results as aids to help foster ongoing compliance efforts within firms. A brief overview of the examination process is followed by a discussion of practical do's and don'ts. Panelists also share exam priorities and common findings, as well as tools and resources.
Mitigating Risk at Small Firms
Securities firm representatives and regulators discuss strategies for mitigating compliance risk in a small firm environment. Panelists offer practices and solutions for getting ahead of pitfalls that can lead to larger compliance issues. The panel also describes related tools and resources available to smaller firms.
Monitoring and Reporting Suspicious Activity
This session provides guidance on suspicious activity monitoring, reporting, writing and filing SAR-SFs, including what happens after a SAR is filed. Panelists discuss the value of SARs to law enforcement and regulators, examples in which SARs were used to initiate or further a case, and selected firm practices in this area.
Navigating an Enforcement Investigation
During this session, senior enforcement officials and industry practitioners guide you through specific situations to help shed light on the enforcement investigation process. Panelists discuss how firms can identify and manage potential regulatory issues, and deal effectively with multiple enforcement authorities.
New Products and Strategies
In the current investment environment, investors and brokers are increasingly searching for alternative investments with higher yields than conventional equity and fixed income investments. This session will focus on the regulatory issues raised by a range of new products and strategies, with particular emphasis on those aimed at the retail market. Topics include: suitability, sales practices, supervision, and policies and best practices for vetting new products.
Protecting Customer Information
This session focuses on compliance, supervision and risk management related to safeguarding customer information. Panelists discuss Reg SP, various types of security breaches, and what firms are doing to protect customer data and other confidential information. Speakers also share practices for identifying and mitigating potential areas of risk, and maintaining security when rolling out a new technology, for example.
Supervision and Supervisory Controls
FINRA staff members discuss the latest status of the supervision and supervisory controls rule proposals. Staff also provides insight into what FINRA is finding through examinations in this area. Firm representatives share their practices for maintaining compliance in this evolving regulatory and economic environment.
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Fees |
Before or On |
After |
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Advertising Regulation Pre-Conference ONLY
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$350 (M) |
$400 (M) |
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Securities Conference ONLY
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$935 (M) |
$1,135 (M) |
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Securities Conference + Advertising Regulation Pre-Conference
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$1,100 (M) |
$1,300 (M) |
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Guest |
$175 |
$175 |
(M) = Member fee
(NM) = Non-member fee
Fall Securities Conference fees include receptions on Wednesday and Thursday, continental breakfasts on Thursday and Friday, Thursday lunch, refreshment breaks, attendance to all sessions on Thursday and Friday, and conference materials.
Pre-Conference Program fees include Wednesday lunch, reception on Wednesday evening, refreshment breaks and pre-conference materials for your selected session(s).
Guest Registration: Conference participants may bring a guest to conference receptions; please register this person per instructions found on the registration form. Guest registration does not permit attendance at sessions, luncheons or continental breakfasts.
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Online |
Online registration is for credit card transactions ONLY. To register using this method, complete the online registration form. Online registration closes one day prior to the start of the program. For those who wish to register after this date, please fax or phone your registration to FINRA. |
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Print out and complete the downloadable registration form and send payment and form to the address below with a check made payable to FINRA: |
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Fax |
Fax registration is for credit card transactions ONLY. Fax your completed downloadable registration form to FINRA at (202) 728-6956. |
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Phone |
(212) 858-4119 |
Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. Registrations without payment are considered incomplete.
Registration may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes will not accept courier or overnight deliveries.
You will receive an email confirmation of your registration within two weeks of receipt of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.
FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to 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 date and/or location become necessary.
Volume Discounts Available: Call (212) 858-4119 or email for additional details.
Both CLE and CPE credit are available for the 2008 FINRA Fall Securities Conference.
Full refunds for registration, less a $100 processing fee, will be granted to written requests received 14 days or more prior to the start date of the program. We regret that refunds will not be granted after October 8, 2008.
If you have questions about this conference, call (212) 858-4119.
The 2008 FINRA Fall Securities Conference will be held at:
La Costa Resort and Spa
2100 Costa Del Mar Road
Carlsbad, CA 92009
Telephone: (800) 854-5000
Fax: (760) 930-7070
A room block is available at La Costa Resort and Spa at the special rate of $249 per night, plus tax. This rate will be available until September 22, 2008, or until the room block is sold out. After September 22, 2008, hotel reservations will be accepted on a space-available and rate-available basis. Hotel reservations, cancellations and charges are the responsibility of the attendee. To reserve a room, please call (800) 854-5000 and identify yourself as an attendee of the FINRA Fall Securities Conference.
Through the FINRA Member Benefits program, Avis is providing discounted rates for attendees of the FINRA Fall Securities Conference on all car classes, including a full-size, 4-door for $51 per day. For more information on the conference rates or to reserve a car, please contact Avis at (800) 331-1600 and use the Avis Worldwide Discount (AWD) number Q309199. Or reserve online and the discount will be automatically included in your reservation. For more information on FINRA Member Benefits, please visit www.finra.org/memberbenefits or call (646) 625-6541.
FINRA has a limited number of sponsorship opportunities available for this conference. For the best selection among the available sponsorships and to secure your participation, please let us know your interest as soon as possible. Contact Jeffrey Arcuri at (508) 759-8180 or jvarcuri@aol.com to request a conference sponsorship package. (Please provide complete contact information in your message.)
View our sponsors.
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.
