2015 Conference Brochure

2015 FINRA Annual Conference
May 27 – 29, 2015
Washington, DC
Our annual conference has
earned a reputation as the
premier education event
in the financial services
industry. Designed for industry
professionals of all levels, the
FINRA Annual Conference
provides attendees with
opportunities to:
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learn from notable securities
industry experts;
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engage in meaningful
dialogue with FINRA senior
executives, industry leaders
and exhibitors;
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connect with peers to share
ideas and effective practices;
and
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discover new solutions to
address what matters most.
Updated | April 2015
Message From FINRA’s Chairman & CEO
Effective securities regulation demands, at its core, a solid, thoughtful rule set—
but there is so much more.
We also measure our success by how well member firms adhere to and understand
the rules, and how they effectively govern the business practices of firms and their
registered personnel, across a wide variety of business models.
Richard G. Ketchum
FINRA Chairman & CEO
Every aspect of our Annual Conference is intended to help you develop and sustain
a culture of compliance. You’ll find nearly 40 sessions with topics ranging from
explaining key requirements (including AML, communications with the public,
suitability and more), risks and regulatory updates; to helping you enhance your
procedures and respond to new issues.
You’ll have many opportunities to share ideas and learn from regulators and
industry peers, enhancing your network of peers who are committed to knowing
the rules of the road and staying current as the rules continue to evolve.
New this year is a special Back to Basics Compliance Program to introduce newer
compliance professionals to key topics and processes.
Whether you attend the conference year after year or are new to our premier event,
I look forward to seeing you in May.
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Session Topics
Don’t Miss FINRA’s Annual
Conference for:
• timely updates on regulatory
Close to 40 sessions covering a broad range of the most important challenges in our industry, including:
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Alternative Investments and Complex Products
00
Looking Ahead: Research Rule Developments
00
Common Examination Findings and Compliance Practices:
What Works and What Doesn't (Small Firm Focus)
00
Market Regulation Priorities: Detecting and Preventing
Misconduct
• practical advice from compliance
00
Common Examination Findings and Lessons Learned
(Medium and Large Firm Focus)
00
Nuts and Bolts of Tri-Party Arrangements (Small Firm Focus)
officers and other industry peers,
and perspectives from regulators
and government officials;
00
00
Communication With the Public: Rule Retrospective
and Beyond
Outside Business Activities: Key Requirements and Leading
Practices
00
Plenary Session: Ask FINRA Senior Staff
00
Current Key Regulatory Initiatives in the Fixed Income
Markets
00
Plenary Session: Compliance and Legal Trends
Cybersecurity: Formulating Procedures and Minimizing Risk
(Medium and Large Firm Focus)
00
Plenary Session: Keynote Address
00
Plenary Session: Top 10 Regulatory Considerations
A Practical Approach to Cybersecurity (Small Firm Focus)
developments and FINRA
priorities;
• more opportunities to network
with peers and regulators
throughout the conference;
• office hours with FINRA staff to
discuss firm-specific questions;
and
• continuing education credits
(CLE, CPE and CRCP).
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00
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Detecting and Fighting Fraud: Present-Day Stories
00
00
Due Diligence: The Life Cycle of a Product
00
Preparing for Crowdfunding and the JOBS Act
00
Effective Approaches to Risk Management
00
Regulatory Continuing Education
00
Enforcement: Case Studies
00
Senior Investors: The Graying of America
00
Enhancing Anti-Money Laundering Procedures
00
Suitability: What You Need to Know
00
Ethics and Standards
00
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Exploring Social Media, Technology Trends and Their Impacts
Supervision: From Procedures to Implementation
(Medium and Large Firm Focus)
Financial and Operational Considerations (Medium and
Large Firm Focus)
00
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Supervision: From Procedures to Implementation
(Small Firm Focus)
FINRA Comment Letters, Election, Committees, Get Involved!
(Small Firm Focus)
00
00
Top Technology Challenges
00
Understanding the Arbitration and Expungement Process
00
What You Need to Know about Consolidated Account
Statements
00
Identifying, Prioritizing and Managing Conflicts of Interest
00
Institutional Firm Hot Topics
00
Investment Banking: Compliance and Regulatory Issues
“Every year I learn something new—even about rules I thought I knew inside and out.”
Special Events and Networking Opportunities
Special Events for 2015
Networking Opportunities
Opening Night Reception at the
Smithsonian National Air and
Space Museum
Take advantage of the many opportunities to meet with industry peers,
committee members and FINRA staff.
Join us at the Smithsonian National
Air and Space Museum for an exciting
opening night reception. Enjoy the
world’s largest and most significant
collection of aviation and space
artifacts while networking with
regulators and peers. This fun and
casual evening will be made even
better by experiencing the various
interactive activities and/or by
relaxing in one of the themed dining
areas. It will be an evening you don’t
want to miss! Want to bring a guest?
Visit the conference website for
more information.
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Breakfast With Member Regulation Senior Staff
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Certified Regulatory and Compliance Professional™ (CRCP™) Lunch
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Diversity and Inclusion Breakfast
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Networking Reception
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Small Firm Advisory Board Lunch
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Smithsonian National Air and Space Museum Reception
Office Hours
Meet one-on-one with FINRA senior staff to discuss firm-specific questions.
Sign up for a 15-minute appointment through the conference app (additional
information to follow).
Back to Basics Compliance (B2BC)
Program
This year’s Annual Conference includes
a special program to help compliance
professionals with less than two
years of experience better understand
key regulations, industry issues and
compliance strategies—with expanded
opportunities for discussion and to
ask questions. Sign up for the Back to
Basics Compliance Program (B2BC)
when registering for the conference.
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“The networking opportunities are the best in the industry.”
Agenda | As of April 1, 2015
Tuesday, May 26

3:00 p.m. – 7:00 p.m. Registration
Wednesday, May 27

9:00 a.m. – 6:30 p.m. Registration
10:00 a.m. – 10:30 a.m. Plenary Session: Welcome Remarks
V
10:30 a.m. – 11:45 a.m. Plenary Session: Top 10 Regulatory Considerations
V
11:45 a.m. – 12:45 p.m. Lunch
Lunch w/ Small Firm Advisory Board
12:45 p.m. – 1:15 p.m. Dessert with Exhibitors
1:15 p.m. – 2:30 p.m. Concurrent Sessions I:
00
Small Firm Focus – Supervision from Procedures to Implementation
00
Exploring Social and Technology Trends and Their Impacts
00
Enforcement: Case Studies
00
Medium and Large Firm Focus – Cybersecurity Threats and Loss Prevention
00
Effective Approaches to Risk Management
V
V
2:30 p.m. – 2:45 p.m. Break
2:45 p.m. – 4:00 p.m. Concurrent Sessions II:
00
Current Key Regulatory Initiatives in the Fixed Income Markets
00
Institutional Firm Hot Topics
00
Detecting and Fighting Fraud: Present Day Stories
00
Senior Investors: The Graying of America
V
V
4:00 p.m. – 4:15 p.m. Break
4:15 p.m. – 5:30 p.m. Concurrent Sessions III:
4
00
Back To Basics Compliance Program – Social Media
00
Alternative Investments and Complex Products
00
Small Firm Focus – FINRA Comment Letters, Elections, Committees, Get Involved!
V
00
Medium and Large Firm Focus – Cybersecurity: Formulating Procedures and Minimizing Risk
V
Agenda | continued
6:30 p.m. Opening Night Reception: Buses begin loading at Marquis Rear Lobby
7:00 p.m. – 9:00 p.m. Opening Night Reception | Smithsonian National Air & Space Museum (see page 3 for details)
Thursday, May 28

8:00 a.m. – 6:30 p.m. Registration
8:00 a.m. – 9:00 a.m. Continental Breakfast
Breakfast With Member Regulation Senior Staff
9:00 a.m. – 9:45 a.m. Plenary Session: Keynote
V
9:45 a.m. – 10:00 a.m. Break
10:00 a.m. – 11:00 a.m. Concurrent Sessions IV:
00
Medium and Large Firm Focus: Financial and Operational Considerations
00
Suitability: What You Need to Know
00
What You Need to Know About Consolidated Account Statements
00
Looking Ahead: Research Rule Developments
V
V
11:00 a.m. – 11:15 a.m. Break
11:15 a.m. – 12:15 p.m. Concurrent Sessions V:
00
Small Firm Focus – Nuts and Bolts of Tri-Party Arrangements
00
Enhancing Anti-Money Laundering Procedures
00
Outside Business Activities: Key Requirements and Leading Practices
00
Investment Banking: Compliance and Regulatory Issues
00
Preparing for Crowdfunding and the JOBS Act
V
V
12:15 p.m. – 1:15 p.m. Lunch
12:15 p.m. – 1:30 p.m. CRCP Lunch
1:15 p.m. – 1:45 p.m. Dessert With Exhibitors
1:45 p.m. – 2:45 p.m. Plenary Session: Compliance and Legal Trends
2:45 p.m. – 3:00 p.m. Break
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V = VIDEO broadcast live over the Internet; all other sessions are AUDIO broadcast live.
V
Agenda | continued
3:00 p.m. – 4:00 p.m. Concurrent Sessions VI:
00
Medium and Large Firm Focus – Common Examination Findings and Lessons Learned
00
Top Technology Challenges
00
Market Regulation Priorities: Detecting and Preventing Misconduct
00
Qualification Exam Restructure and Web CE
V
V
4:00 p.m. – 4:15 p.m. Break
4:15 p.m. – 5:15 p.m. Concurrent Sessions VII:
00
Understanding the Arbitration and Expungement Process
00
Ethics and Professional Responsibility for Compliance and Legal Professionals
00
Due Diligence: The Life Cycle of a Product
00
Small Firm Focus – Common Examination Findings and Compliance Practices:
What Works and What Doesn’t
00
Back To Basics Compliance Program – Suitability and AML
V
V
5:15 p.m. – 7:00 p.m. Reception
Friday, May 29

8:00 a.m. – 12:00 p.m. Registration
8:00 a.m. – 9:00 a.m. Continental Breakfast
Diversity and Inclusion Breakfast
9:00 a.m. – 10:15 a.m. Concurrent Sessions VIII:
00
Identifying, Prioritizing and Managing Conflicts of Interest
00
Medium and Large Firm Focus – Supervision From Procedures to Implementation
V
00
Communication with the Public: Rule Retrospective and Beyond
V
10:15 a.m. – 10:30 a.m. Break
10:30 a.m. – 11:45 a.m. Plenary Session: Ask FINRA Senior Staff
11:45 a.m. Conference Adjourns
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V = VIDEO broadcast live over the Internet; all other sessions are AUDIO broadcast live.
V
Speakers | As of April 1, 2015
This year’s conference features
more than 150 speakers,
including:
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leaders of firms of all sizes
and business models;
Patricia Albrecht
FINRA Member Relations and
Education
Kris Daily
FINRA Risk Oversight and
Operational Regulation
Norman Ashkenas
Fidelity Brokerage Services, LLC.
Kosha Dalal
FINRA Regulatory Policy
Marcia Asquith
FINRA Office of Corporate Secretary
Administration
Pramit Das
FINRA Advertising Regulation
Susan Axelrod
FINRA Office of Regulatory
Operations
James Day
FINRA Enforcement
Susan DeMando Scott
FINRA Financial Operations
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securities attorneys;
00
government officials;
Anirudh Bansal
Cahill Gordon & Reindel LLP
Thomas Drogan
FINRA New York District Office
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FINRA senior leaders; and
J. Bradley Bennett
FINRA Enforcement
S. Chad Estep
Stifel, Nicolaus & Century Sec.
representatives from other
securities regulators.
Ornella Bergeron
FINRA Risk Oversight and
Operational Regulation
Jill Fisch
University of Pennsylvania
Law School
Richard Berry
FINRA Case Administration
Gregory Fleming
Morgan Stanley
Laura Blackston
FINRA, Senior Regional Counsel
Cameron Funkhouser
Aimee Blinder
National Planning Corporation
FINRA Office of Fraud Detection
and Market Intelligence
Bradley Bondi
CW&T
Alexander Gavis
Fidelity Investments
John Brady
FINRA Technology Administration
Patrick Geraghty
FINRA Market Regulation, Fixed
Income
Jamie Brigagliano
Sidley Austin, LLP
Thomas Gira
FINRA Market Regulation
Mari Buechner
Coordinated Capital Securities
Mark Goldberg
Cary Financial, LLC
Tracy Calder
JP Morgan Chase & Co.
Sarah Green
FINRA Enforcement
Melissa Callison
Bank of America
Sharyn Handelsman
LPL Financial LLC
Steve Caruso
Maddox Hargett & Caruso, P.C.
Bari Havlik
Charles Schwab & Co., Inc
Rajib Chanda
Simpson Thacher
John Hickey
FINRA New York District Office
Douglas Cohen
FINRA Enterprise Solutions
Alon Hillel-Tuch
RocketHub Inc.
Robert Colby
FINRA Chief Legal Office
Chip Jones
Mark Cresap
Cresap, Inc.
FINRA Member Relations and
Education
Monica Daggs
CUSO Financial Services, L.P.
Basil Joseph
Van Clemens & Co
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Follow @FINRA_Education on Twitter #finraac
Speakers | continued
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Kenneth Josselyn
Goldman, Sachs & Co.
Elizabeth Page
FINRA Boston District Office
John Kalohn
FINRA Testing & Continuing
Education
Thomas Pappas
FINRA Advertising Regulation
Robert Kaplan
FINRA Philadelphia District Office
Jeffrey Pasquerella
FINRA South Region
W. Dean Karrash
Burke Lawton Brewer & Burkes
Steven Polansky
FINRA Member Regulation,
Regulatory Programs
Rick Ketchum
FINRA
Joseph Price
FINRA Corporate Financing
Demetrios Koutros
FINRA Risk Oversight and
Operational Regulation
Mark Quinn
First Allied Securities, Inc.
Alan Lawhead
FINRA Office of General Counsel
Gregory Riviello
FINRA Advertising Regulations
Miriam Lefkowitz
Summit Equities
Lisa Roth
Monahan & Roth, LLC
Michael Lobosco
Gugenheim Securities
Michael Rufino
FINRA Member Regulation,
Sales Practice
Donald Lopezi
FINRA San Francisco District Office
Donald Runkle
Coordinated Capital Securities
Mary Mack
Wells Fargo
Tracy Salmon-Smith
Bressler Amery & Ross, P.C.
Kathryn Mahoney
FINRA Risk Oversight and
Operational Regulation
Joseph Savage
FINRA Investment Companies
Regulation
David Martin
Keystone Capital Corporation
Susan Schroeder
FINRA Enforcement
Duer Meehan
FINRA Market Regulation
Joan Schwarts
Pershing
Robert Mendelson
FINRA Risk Oversight and
Operational Regulation
Douglas Seigel
UBS Financial Services
Elizabeth Mitchell
WilmerHale
Thomas Selman
FINRA Regulatory Policy
Robert Muh
Sutter Securities Inc.
Philip Shaikun
FINRA Regulatory Practice & Policy
Linde Murphy
M. E. Allison & Co., Inc.
Sarah Sherck
Avondale Partners, LLC
Joseph Nadreau
Wells Fargo Advisors, LLC
Daniel Sibears
FINRA Member Regulation Programs
Ram Nagappan
Pershing
Raymond Smith
Smith, Brown and Groover, Inc.
Ted Newton
MML Investors Services, LLC
Amy Sochard
FINRA Advertising Regulation
Amy Nofziger
AARP
Michael Solomon
FINRA New York District Office
REGISTER NOW: www.finra.org/annualconference/2
Speakers | continued
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William St. Louis
FINRA New York District Office
Daniel Stefek
FINRA Atlanta District Office
Tanya Stern Bernotas
RBS
Harry Striplin
Unpqua Investments, Inc
Michael Sullivan
Wells Fargo Securities
Paul Tolley
Commonwealth Financial Network
Pamela Torres
Goldman, Sachs & Co.
Laura Trotz
FINRA Chicago District Office
Kathleen
VanNoy-Pineda
LPL Financial LLC
John Veator
FINRA Member Relations and
Education
Erin Vocke
FINRA Dallas District Office
James Webb
Cape Securities, Inc.
Ed Wegener
FINRA Chicago District Office
Timothy White
U.S. Securities and Exchange
Commission
James Williams
Financial Telesis Inc
Bill Wisdom
Benjamin F. Edwards &
Company, Inc.
William Wollman
FINRA Member Regulation,
Office of Risk Oversight &
Operational Regulation
James Wrona
FINRA Office of General Counsel
Jeffery Ziesman
Bryan Cave, LLP
Andrew Zolper
Raymond James Financial
Follow @FINRA_Education on Twitter #finraac
Registration
How to Register
To register, visit www.finra.org/
annualconference/2 and complete
the online registration form using
your credit card. Conference
registration is limited and available
on a first-come, first-served basis.
If you have any questions
about registering, please call
(202) 728-6980 or email
[email protected].
Confirmation Email
You will receive an email
confirmation of your registration.
Please make sure your registration
has been confirmed prior to your
arrival onsite at the conference.
Two Ways to Participate
Up to 500
Through
3/31/15
500+
or After
3/31/15
$795
$1,395
$1,595
$1,095
$1,695
$1,895
$795
$995
$1,195
$1,395
$1,995
$2,195
$795
$1,180
$1,340
Attorney (Must provide valid bar ID #)
$1,095
$1,440
$1,610
Non-Member
$1,395
$1,690
$1,860
Attend in person
Attend the conference in person and
take advantage of unique networking
opportunities to connect with industry
peers and regulators and meet one-onone with FINRA staff.
Watch the live broadcast
Those who can’t attend the conference
in person can participate via live
broadcast streamed over the Internet.
Sessions will be video or audio
broadcast live. Participants can choose
a session to follow along, and can
toggle between all other live sessions
as they like. Online participants receive
access to all conference materials, and
can ask questions in real time.

The special discounted rate for
the first 100 in-person registrants
is non-refundable. For all other
registration categories, a full
refund—less a $150 processing
fee—will be granted to written
requests received 14 days or
more prior to the start date of
the program. Refunds will not be
granted after May 13, 2015.
www.finra.org/annualconference/2
REGISTER NOW:
First 100
Through
10/01/14
In Person – Individual
Member (Must provide valid Firm CRD #)
Attorney (Must provide valid bar ID #)
Government / Regulator
Non-Member
In Person – Group* (Per Person)
Member (Must provide valid Firm CRD #)
Live Broadcast
Cancellation Policy
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Registration Fees
Member (Small Firms)
Viewer License Fees
$500
Member (Must provide valid Firm CRD #)
$2,800
Government / Regulator
$2,800
Attorney / Non-Member
$5,000
*Available to firms registering three or more employees at the same time with the same credit
card. Please follow the instructions in the registration system.
REGISTER NOW: www.finra.org/annualconference/2
Hotel and Travel Information
Hotel Reservations
Travel Information
The 2015 FINRA Annual Conference
will take place at:
The Back to Basics Compliance Program (B2BC) will start at 8 a.m. on
Wednesday, May 27, with a breakfast for participants. The general conference
will start at 10 a.m. on Wednesday, May 27, and will end at approximately
noon on Friday, May 29.
Marriott Marquis Washington, DC
901 Massachusetts Avenue, NW
Washington, DC 20001
Phone: (202) 824-9200
Toll free: (877) 212-5752
www.finra.org/annualconference/hotel
A room block is available at the
Marriott Marquis Washington, DC
Hotel at the special rate of $325 per
night, plus tax. This rate is available
until May 1, 2015, or until the room
block is sold out. Hotel reservations
will then be accepted on a space- and
rate-available basis.
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
dates and/or location become necessary.
Please note that hotel reservations, cancellations and charges are the
attendee’s responsibility.
Reserve a room online or call
(202) 824-9200 or (877) 212-5752
and identify yourself as a 2015
FINRA Annual Conference attendee.
11
Follow @FINRA_Education on Twitter #finraac
Exhibitors
Conference exhibitors showcase
a wide range of products and
services for broker-dealer firms.
If you are interested in being
an exhibitor at the 2015 Annual
Conference, contact Jeff Arcuri
at (508) 759-8180.
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ACA Compliance Group
LexisNexis
SMARSH
Actiance
Lumesis, Inc.
Socialware
Bloomberg Vault
McDonald Information Services, Inc.
Solomon Exam Prep
Business Information Group (BIG)
Mercer Consumer
SunGard
Cell Trust
National Regulatory Services (NRS)
TD Ameritrade
CFM Partners, Inc.
National Society of Compliance
TerraNua US Corp
Charles Schwab
Nexgate Professionals
Thomson Reuters Accelus
Clementine Labs, Inc.
NUIX
Two Roads Software
Compliance Science, Inc.
Patrina Corporation
Vertafore
Digital Reasoning, Inc.
PersonVue
Wiley
Docupace Technologies
Pinpoint Global Communications
WithumSmith+Brown
DST
Portfolio Media, Inc.
ERADO
Prometric
Fidelity Investments
QuestCE
Fire Solutions, Inc.
Recommind, Inc.
Global Relay
Red Oak Compliance
GWAVA
RegEd
Hearsay Social
Regulatory Compliance
INTL FCStone
Renaissance Regulatory Services, Inc.
Lansare Corporation
SiteQuest Technologies
Follow @FINRA_Education on Twitter #finraac