2022 Advertising Regulation Conference Agenda
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.
Wednesday, October 19
5:00 p.m. – 7:00 p.m.
Kick Off Happy Hour With Exhibitors
Registration
Office Hours
Thursday, October 20
7:30 a.m. – 5:30 p.m.
Registration
Office Hours
AREF Demonstrations
7:30 a.m. - 9:30 a.m.
Continental Networking Breakfast
8:30 a.m. – 9:15 a.m.
Networking Icebreaker
Come meet your fellow attendees at this fun and informative icebreaker session. Bring your coffee and questions about how to get the most from the conference experience. FINRA staff guide participants through light-hearted meet-and-greet activities and preview conference highlights.
9:30 a.m. – 10:00 a.m.
Plenary Session I
Welcome Remarks and Advertising Regulation Priorities
During this session, Amy Sochard opens the conference and shares current Advertising Regulation Department priorities.
10:00 a.m. – 11:00 a.m.
Plenary Session II
Current Issues
Join FINRA staff and industry panelists for an in-depth conversation on current advertising regulatory issues, including the new Investment Advisers Act Marketing Rule.
11:00 a.m. – 11:15 a.m.
Networking Break
11:15 a.m. – 12:15 p.m.
Concurrent Sessions I
Advertising Compliance: Fundamentals of FINRA Rule 2210
This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials.
Fintech Firms - Communications Compliance Topics
Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto assets. Panelists answer questions and provide tips on the use of technology to help navigate this quickly evolving area.
12:15 p.m. – 1:15 p.m.
Networking Lunch
1:15 p.m. – 1:30 p.m.
Dessert With Exhibitors
1:30 p.m. – 2:30 p.m.
Concurrent Sessions II
Advertising Compliance Bootcamp: Select Topics
This panel is designed for compliance and marketing professionals seeking to gain a deeper understanding of select Rules and FINRA guidance to create compliant communications. Panelists review frequently raised regulatory compliance questions related to communications concerning mutual funds, ETFs and variable insurance products. The select topics include disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, and a discussion of the core concepts of social media and digital communications.
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips.
2:30 p.m. – 2:45 p.m.
Networking Break
2:45 p.m. – 3:45 p.m.
Concurrent Sessions III
Ad Review Workshop
During this highly interactive and dynamic session, attendees apply advertising rules to several mock advertisements and uncover the hidden concerns. Attendees work in small groups and present their findings to fellow participants, while moderators present the regulatory perspective, clarify any misperceptions and answer questions.
Exempt Offerings
This session focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail inventors and discuss Regulatory Notices 20-21 and 21-26.
3:45 p.m. – 4:00 p.m.
Networking Break
4:00 p.m. – 4:45 p.m.
Plenary Session III
Ask Advertising Regulation Senior Staff
Join senior staff in FINRA’s Advertising Regulation Department to hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.
4:45 p.m. – 5:25 p.m.
Plenary Session IV – Fireside Chat
5:30 p.m. – 7:00 p.m.
Networking Reception
Friday, October 21
7:30 a.m. – 12:00 p.m.
Registration
Office Hours
AREF Demonstrations
7:30 a.m. – 8:30 a.m.
Continental Networking Breakfast
8:45 a.m. – 9:30 a.m.
Plenary Session V
Findings from the FINRA Foundation’s Recently Released Study on Financial Capability in the United States
Join FINRA staff and the FINRA Foundation researchers as they discuss the latest national study by the FINRA Foundation. Presenters explain the study findings including that U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic.
9:30 a.m. – 9:45 a.m.
Networking Break
9:45 a.m. – 10:45 a.m.
Concurrent Sessions IV
Digital Communications and Social Media
In the rapidly developing world of digital marketing, how can firms stay in compliance? Can firms communicate relevant, meaningful information in the digital age? Attend this session to experience how industry and regulatory experts are grappling with these challenges. The panel covers current topics including how firms engage technology to address their compliance obligations and creative ways to use effective disclosure.
Ad Review Workshop
During this highly interactive and dynamic session, attendees apply advertising rules to several mock advertisements and uncover the hidden concerns. Attendees work in small groups and present their findings to fellow participants, while moderators present the regulatory perspective, clarify any misperceptions and answer questions.
10:45 a.m. – 11:00 a.m.
Networking Break
11:00 a.m. – 12:00 p.m.
Concurrent Sessions V
Variable Products & Retirement Planning
Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges.
Back to the Future in Fixed Income Investing? Navigating A Changing Landscape in Municipal and Fixed Income Securities
This session discusses the latest developments in fixed income communications compliance with FINRA, MSRB and industry experts. Panelists touch on findings from the 2022 Report on FINRA’s Examination and Risk Monitoring Program pertaining to effective practices for creating compliant municipal securities communications. Panelists also discuss compliance considerations for communications on behalf of fixed income investments in a market environment of rising interest rates.
12:00 p.m.
Conference Adjourns