Advertising Regulation Conference

2017 FINRA Advertising Regulation Conference October 5 6, 2017 Washington, DC Agenda Wi-Fi Code Access Network: Renaissance_Conference Password: finra1939 App Information Continuing Education (CE) Credit Information Event Map Exhibitor List Office Hours Information and more

WELCOME TO THE FINRA ADVERTISING REGULATION CONFERENCE Over the next two days, you ll choose from more than 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: finra1939 Download the Conference App Download the Advertising Regulation Conference app for access to all event materials including session presentations, handouts and session descriptions. See the App Tip Sheet on pages 6 7 for more information. 1. Go to the App store on your mobile device (Google Play Store/iTunes App Store). 2. Search for FINRA s Events and then download the app. 3. When the download is complete, open the app. 4. Enter your user ID (the email address you used to register for the conference) and password (finra1939). 5. Click on the Events icon and then select FINRA Advertising Regulation Conference. 1

AGENDA Review the Agenda and 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 FINRA Advertising Regulation staff members are available throughout the conference to discuss specific questions or topics raised during the conference. To schedule an appointment, sign up using the conference app or visit the office hours table in the Grand Ballroom South Foyer. Receive CLE, CFP or CRCP CE Credits The FINRA Advertising Regulation Conference is eligible for CRCP and CFP continuing education (CE) credits and depending on your jurisdiction, is eligible for CLE credits. Don t forget to complete and submit your attestation form by Friday, October 20, for CLE/CFP CE credits. Certified Regulatory and Compliance Professionals (CRCPs) may earn CE credit for attending the conference. Visit www.finra.org/crcp for more information and to get credit for attending. Stop by the App/CE desk located in the Grand Ballroom Foyer if you have any questions. WEDNESDAY, OCTOBER 4 5: p.m. 7: p.m. REGISTRATION / INFORMATION 5: p.m. 7: p.m. Office Hours Grand Ballroom South Foyer THURSDAY, OCTOBER 5 7:30 a.m. 5: p.m. REGISTRATION / INFORMATION 7:30 a.m. 5:30 p.m. Office Hours Grand Ballroom South Foyer 7:30 a.m. 5:30 p.m. AREF and E-Bill Demonstrations Carnegie Room 7:30 a.m. 9:45 a.m. Continental Breakfast 9: a.m. 9:45 a.m. Networking Icebreaker 10: a.m. 11:15 a.m. PLENARY SESSION I Welcome Remarks and Current Developments 11:15 a.m. 11:30 a.m. Networking Break 11:30 a.m. 12:30 p.m. CONCURRENT SESSIONS I Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210 JOBS Act Implementation Current Trends and Topics for Investment Company Communications 12:30 p.m. 1:30 p.m. Networking Lunch Renaissance Ballroom 1:30 p.m. 1:45 p.m. Dessert With Exhibitors 2 3

AGENDA continued 1:45 p.m. 2:45 p.m. CONCURRENT SESSIONS II Current Trends and Topics for Investment Company Communications (Repeat Session) Advertising Compliance Boot Camp: Select Topics General Brokerage Communications Trends 2:45 p.m. 3: p.m. Networking Break 3: p.m. 4: p.m. CONCURRENT SESSIONS III Helping Small Firms Navigate the Communications Rules Variable Insurance Products: Current Advertising Issues Design Thinking Workshop 4: p.m. 4:15 p.m. Networking Break 4:15 p.m. 5:15 p.m. PLENARY SESSION II Social Media and Digital Communications 5:15 p.m. 6:45 p.m. Networking Reception Renaissance Ballroom FRIDAY, OCTOBER 6 7: a.m. 1:30 p.m. REGISTRATION / INFORMATION 7: a.m. 1:30 p.m. Office Hours Grand Ballroom South Foyer 7: a.m. 1:30 p.m. AREF and E-Bill Demonstrations Carnegie Room 7: a.m. 8:30 a.m. Continental Breakfast 8:30 a.m. 9:30 a.m. PLENARY SESSION III FINRA Regulatory Highlights 9:30 a.m. 9:45 a.m. Networking Break 9:45 a.m. 10:45 a.m. CONCURRENT SESSIONS IV General Brokerage Communications Trends (Repeat Session) Fixed Income Communications Advertising Review Workshop 10:45 a.m. 11: a.m. Networking Break 11: a.m. 12: p.m. CONCURRENT SESSIONS V Sales Practices A Case Study Approach Advertising Review Workshop (Repeat Session) Design Thinking Workshop (Repeat Session) 12: p.m. 12:30 p.m. Networking Break and Pick Up Boxed Lunch 12:30 p.m. 1:30 p.m. PLENARY SESSION IV Session Highlights and Open Questions and Answers 1:30 p.m. CONFERENCE ADJOURNS VIDEO = video live over the Internet AUDIO = audio broadcast live 4 5

App Functionality Tip Sheet FINRA Advertising Regulation Conference App Registered attendees are granted access to the FINRA Advertising Regulation 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 the survey and network with other conference attendees. Schedule: See the full event schedule and browse sessions and events by date and time. Select a specific session to access the session description, speaker information and associated materials; ask session-specific questions; participate in polling; and take notes. Polling: To participate in polling, under the Schedule icon, select the session name, and then tap the Polling button. Session Questions: To ask a question through the app, select the session name under the Schedule icon and click on the Ask button. This will then prompt you to submit your question via email. Attendees: Search for a specific person or sort the entire attendee list by name or company. Email other attendees using the Let s Meet or Email icons on the attendee s details page. FAQs: Review the answers to the most frequently asked questions. Speakers: See a list of the conference speakers. Search for a speaker or tap the speaker s name to see his or her bio, photo and all of the sessions where the speaker is presenting. MyConference: Mark sessions, attendees, exhibitors, etc., as favorites by tapping the (iphone) or (Android) icon next to each name. From MyConference, you can view your personalized schedule, contacts and your notes. Emailing Options: You can email information to yourself like notes and contact info through the app from MyConference. Tap the Export button in the upper right corner, then select the items to export, next tap Send, and then enter your email address. Office Hours: To schedule an appointment through the app, click on the Office Hours icon to see a listing of available appointments, and then tap the (iphone) icon or (Android) icon next to the listing to schedule your appointment. MyProfile: Enter your contact information through the MyProfile icon by clicking on the edit button in the upper right corner. You can choose the information you wish to make public to attendees or keep private and save. Floor Plans: The Floor Plans section provides a hotel floor plan for the conference space use this to easily find the locations of sessions and the exhibitors you want to visit. Survey: Submit feedback on the overall experience via the Survey icon on the app home page. Please note: Once you start the survey, if you navigate away from the page, your answers will not be saved. CE: Learn about continuing education credits offered at the Advertising Regulation Conference. 6 7

RENAISSANCE WASHINGTON, DC HOTEL Concurrent Sessions Grand Ballroom General and Concurrent Sessions Renaissance Ballroom Lunch & Reception Restrooms Restrooms Power Lounge Grand Ballroom South Foyer Office Hours Carnegie Room AREF/E-Bill Demos Exhibits/Breaks/ App/ CE Desk/ FINRA Demos Registration 8 9

AREF AND E-BILL DEMONSTRATIONS Stop by the demonstration area in the Carnegie Room to learn about recent FINRA system changes. AREF System The Advertising Regulation Electronic Files (AREF) system is a web-based 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, including various file types (in addition to PDFs); send multiple attachments with the initial submission; save a draft of the New Communication Form; track filings awaiting review by FINRA; access/review confirmation letters in response to requests for expedited review; use search and filtering functionality; 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 email notification when FINRA publishes new letters regarding recently reviewed communications. NEW ENHANCEMENTS FOR FALL 2017 For more information including how to set up a user name and password for the system visit www.finra.org/aref. 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 www.finra.org/industry/ebill. Additional Resources FINRA offers several online resources to help firms prepare compliant sales communications, including webinars, Regulatory Notices, interpretive letters and more. View a full list of online resources at www.finra.org/advertising. FINRA TOOLS, TIPS AND RESOURCES 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 in the. FINRA.org Industry Homepage Redesign Member Relations and Education Securities Industry Essentials Exam Ability to change multiple Read or Unread statuses Submitting Websites and Mobile Apps Previous filings What s available on AREF? Ability to submit various file types via batch submission (Version 2) 10 11

Exhibitor Information Notes Meet with representatives from companies showcasing a range of products and services designed to help you meet your compliance obligations. To learn more about the companies in attendance, refer to the conference app and visit them in the exhibit space. Current exhibitors include: ACA Compliance Group Erado Foreside Hearsay Systems NRS Pinpoint Global Communications Proofpoint RedOak Compliance Solutions, LLC RegEd Smarsh 12 13