Advertising Regulation Conference

Transcription

1 Advertising Regulation Conference October 8 9, 2015 Washington, DC Conference Agenda Wi-Fi Code Conference App Information CE Credit Information AREF and E-Bill Information and more

2 WELCOME TO THE FINRA ADVERTISING REGULATION Over the next two days, you ll choose from 10 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: Renaissance_CONFERENCE Wi-Fi Code: adreg2015 Download Conference App Download the Advertising Regulation Conference app for access to all conference materials including session presentations, handouts and session descriptions. 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 Advertising Regulation Conference. 6. Enter your user ID (the same address as above) and password (finra1939) to log in to the conference app. 2

3 CONFERENCE Review the Agenda & Floor Plan Take a few moments to plan your personalized conference experience 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 Visit the Office Hours table in the Grand Ballroom South Foyer to talk with Advertising Regulation staff members about issues related to communications with the public. You can also schedule a one-on-one meeting with a particular staff member to ask specific questions, discuss topics raised during the conference, or get to know your firm s assigned analyst. Receive CLE, CPE or CRCP CE Credits Depending on your jurisdiction, the FINRA Advertising Regulation Conference is eligible for CLE and CPE credit. Visit the Registration Desk in the Grand Ballroom Foyer 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. Exhibitor Information Meet with representatives from 10 companies showcasing products and services designed to help you meet your compliance obligations. Refer to the Exhibitor Passport or the Conference App to learn more about the companies in attendance, and visit them in the exhibit space. 3

4 Tip Sheet FINRA Advertising Regulation Conference App Registered attendees may access FINRA s Advertising Regulation Conference app. All materials including session presentations, handouts and the conference schedule are available through it. App Pointers My Inbox Located in My Favorites, the inbox allows you to receive and send messages to other conference attendees. 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. Downloading Session Materials Download session materials through the app. View them from My Downloads located under My Favorites. Additionally, you can downloaded items to yourself 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 My Favorites, you can other conference attendees. 4

5 App Functionality Within the app, you can navigate the conference venue, download session materials 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: Search for a specific person or tap Everyone for the entire attendee list. Send in-app messages to other attendees using the message icon. To update your information or opt out of Networking, tap Profile and enter your information or uncheck Enable Networking. Please note: You will not appear on the attendee list when accessing it via your device. Speakers: See a list of the conference speakers. Search for a speaker or tap on the speaker s name to see bios, photos and all sessions where they are presenting. My Favorites: Mark sessions, speakers, other attendees, etc., as favorites by tapping the agenda icon or star on each screen. From My Favorites, you can view your personalized schedule, selected speakers, contacts and your notes; and these items to yourself. You can also view your in-app messages from other attendees. Session Questions: Ask a question through the app by selecting the session, typing your question and then tapping submit. HELP: For assistance with the app, visit the App Support Table at the conference. 5

6 AGENDA WEDNESDAY, OCTOBER 7 5: p.m. 7: p.m. REGISTRATION / INFORMATION Grand Ballroom Foyer THURSDAY, OCTOBER 8 7:30 a.m. 5: p.m. REGISTRATION / INFORMATION Grand Ballroom Foyer 7:30 a.m. 9: a.m. Continental Breakfast Grand Ballroom Foyer 8:15 a.m. 5:30 p.m. AREF and E-Bill Demonstrations See page 11 for specific times Carnegie Room 8:30 a.m. 5: p.m. Office Hours Grand Ballroom South Foyer 9: a.m. 10:30 a.m. Pre-Conference Advertising Compliance Boot Camp 10:45 a.m. 11: a.m. Welcome Address 11: a.m. 12:15 p.m. Opening General Session Questions, Answers and Explanations: Regulatory Notice :15 p.m. 1:45 p.m. Lunch Dessert With Exhibitors Renaissance Ballroom 1:45 p.m. 3: p.m. General Session Advertising Rule Retrospective and Regulatory Developments 3: p.m. 3:15 p.m. Break Grand Ballroom Foyer 6

7 3:15 p.m. 4:45 p.m. CONCURRENT SESSIONS I Investment Company Communications Variable Insurance Products: Current Advertising Issues Congressional Ballroom Advertising Review Workshop Grand Ballroom South 5: p.m. 6:30 p.m. Reception Renaissance Ballroom FRIDAY, OCTOBER 9 7:30 a.m. 2: p.m. REGISTRATION / INFORMATION Grand Ballroom Foyer 7:30 a.m. 9: a.m. Continental Breakfast Grand Ballroom Foyer 8:15 a.m. 2:30 p.m. AREF and E-Bill Demonstrations See page 11 for specific times Carnegie Room 8:30 a.m. 2:30 p.m. Office Hours Grand Ballroom South Foyer 9: a.m. 10:15 a.m. General Session FINRA Regulatory Highlights 10:15 a.m. 10:30 a.m. Break Grand Ballroom Foyer 10:30 a.m. 12: p.m. CONCURRENT SESSIONS II Advertising Review Workshop Grand Ballroom South Sales Practices: A Case Study Approach Congressional Ballroom General Brokerage Advertising continued 7

8 AGENDA continued FRIDAY, OCTOBER 9 continued 12: p.m. 12:30 p.m. Break & Pick up Boxed Lunch Grand Ballroom Foyer 12:30 p.m. 2: p.m. CONCURRENT SESSIONS III Investment Company Communications Congressional Ballroom Sales Practices: A Case Study Approach General Brokerage Advertising Grand Ballroom South Renaissance Washington, DC Hotel Grand Ballroom General and Concurrent Sessions Congressional Ballroom Concurrent Sessions Office Hours Carnegie Room AREF/E-Bill Demos 8

9 2: p.m. 2:30 p.m. Office Hours Grand Ballroom South Foyer VIDEO = broadcast live over the Internet; all other sessions are AUDIO broadcast live unless otherwise noted. Renaissance Ballroom Lunch & Reception Registration Exhibits and Breaks 9

10 AREF AND E-BILL DEMONSTRATIONS Stop by the demonstration area to learn about recent FINRA system changes. AREF System The Advertising Regulation Electronic Files (AREF) system is an application in Firm Gateway that enables FINRA member firms to file communications with the public for review by FINRA s Advertising Regulation Department. Through the AREF system, you can: file communications one at a time or via batch submission for FINRA review; track filings awaiting review by FINRA; access/review confirmation letters in response to requests for expedited review; learn about the advertising review payment process and FINRA s electronic billing system E-Bill; search for, view, print and save letters from FINRA about communications filed for review, including archived letters from the previous three years; and receive notifications when FINRA publishes new letters regarding recently reviewed communications. NEW ENHANCEMENTS FOR FALL 2015 ability to upload various file types in addition to PDFs including audio, video and MS Office file formats tenfold file-size increase from 50 MB to 5 MB the ability to send multiple attachments new option to save a Draft of the New Communication Form improved search and filtering functionality access via the Firm Gateway 10

11 For more information including how to set up a user name and password for the system visit E-Bill and Flex Funding Account Firms fees for advertising reviews are invoiced via E-Bill, FINRA s electronic billing system. Firms may make credit card, ACH payments or re-allocate from the Flex-Funding account through E-Bill to pay filing fee invoices. For more information about E-Bill, visit org/industry/ebill. Additional Resources FINRA offers a number of online resources to help firms prepare compliant sales communications, including webinars, Notices, interpretive letters, a Guide to the Internet for Registered Representatives and more. View a full list of online resources at AREF and E-Bill Demonstration Schedule All demo sessions take place in the Carnegie Room Thursday, October 8 8:15 a.m. 8:45 a.m. 9:15 a.m. 9:45 a.m. 10: a.m. 10:30 a.m. 1:15 p.m. 1:45 p.m. 5: p.m. 5:30 p.m. Friday, October 9 8:15 a.m. 8:45 a.m. 12: p.m. 12:30 p.m. 2: p.m. 2:30 p.m. 11

12 Conference Wi-Fi Information Network: Renaissance_CONFERENCE Wi-Fi Code: adreg2015 Investor protection. Market integrity K Street, NW Washington, DC FINRA. All rights reserved. 15_ /15