2024 Advertising Regulation Conference Agenda
Note: Only sessions with an asterisk (*) are being live-streamed and recorded for future viewing. Virtual participants will only have access to these marked sessions.
Wednesday, September 25
5:00 p.m. – 7:00 p.m.
Registration & Information
Kick Off Reception With Exhibitors
Office Hours
Thursday, September 26
7:30 a.m. – 5:30 p.m.
Registration & Information
Office Hours
Advertising Regulation Technology Demonstration
7:30 a.m. – 9:00 a.m.
Continental Breakfast
8:00 a.m. – 8:45 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.
8:45 a.m. – 9:00 a.m.
Break
9:00 a.m. – 9:30 a.m.
Welcome Remarks*
9:30 a.m. – 10:30 a.m.
Plenary Session – Regulatory Developments:
Finfluencers, Artificial Intelligence and Beyond*
Hear perspectives from Advertising Regulation leaders as they address the latest regulatory developments and trends including new rule making, foreign language communications, thematic observations from the financial influencer targeted reviews, and the use and supervision of Artificial Intelligence to create communications and marketing.
10:30 a.m. – 10:45 a.m.
Break
10:45 a.m. – 11:45 a.m.
Concurrent Sessions:
Advertising Compliance: Fundamentals of Rule 2210*
Designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher, this session provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision and content standards. FINRA staff experts answer questions about how to apply the rules to financial services communications and marketing materials.
Communications Considerations for Options, Optionality and Derivative-Based Products
Join FINRA staff and industry panelists as they discuss key promotional communications filing requirements and effective practices related to investment vehicles such as options and derivatives-based products, including funds; registered, indexed linked annuity contracts (RILAs) and structured notes.
11:45 a.m. – 1:00 p.m.
General Lunch With Trending Topics Networking
During general lunch, FINRA Advertising Regulation staff are hosting a select number of tables to discuss key communications topics with attendees. Attendees can elect to join a table labeled with a topic of interest to engage in discussions with fellow practitioners and FINRA staff.
1:00 p.m. – 1:30 p.m.
Desserts With Exhibitors
1:30 p.m. – 2:30 p.m.
Concurrent Sessions:
Current Fund Topics*
Hear from FINRA staff and industry practitioners as they discuss topical advertising compliance issues concerning ETFs, mutual funds, closed-end funds and exchange traded products that invest in commodities. Panelists cover the compliance challenges associated with complex products such as single security ETFs, crypto futures and spot crypto products, non-transparent ETFs, and ESG focused investments. Panelists also discuss regulatory interpretations and compliance tips.
Advertising Compliance Bootcamp: Select Topics
This panel provides compliance and marketing professionals with a deeper understanding of selected rules and FINRA guidance to create compliant communications. FINRA panelists review frequently raised regulatory compliance questions related to mutual funds, ETFs and variable insurance products communications and marketing. Topics include disclosure and performance standards of SEC rules, standards for variable insurance product communications, presentation of performance rankings, and a discussion of the core compliance concepts for social media and digital communications.
2:30 p.m. – 3:00 p.m.
Networking Break
3:00 p.m. – 4:00 p.m.
Concurrent Sessions:
Supervisory Considerations for Off-Channel Communications*
Join this session to gain insight into the latest regulatory observations related to off-channel communications and effective practices firms are implementing to stay compliant.
Moderator: Stephanie Gregory
Communications Review Workshop #1
Back by popular demand, this highly interactive and dynamic session enables attendees to apply the communications rules to several mock communications 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.
4:00 p.m. – 4:15 p.m.
Break
4:15 p.m. – 5:15 p.m.
Plenary Session – 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 digital communications and social media, new rule developments and interpretations, and working effectively with FINRA staff. Panelists answer questions on how to embrace the future of communications while remaining compliant.
5:15 p.m. – 7:00 p.m.
Networking Reception
Friday, September 27
7:30 a.m. – 1:00 p.m.
Registration & Information
Office Hours
Advertising Regulation Technology Demonstrations
7:30 a.m. – 9:00 a.m.
Continental Breakfast
9:00 a.m. – 10:00 a.m.
Plenary Session – The Latest in Crypto Asset Communications*
Join this session to learn about the latest crypto asset communications developments including findings and effective practices from the crypto-asset retail communications targeted exam, current trends in crypto asset misconduct and resources and guidance firms can leverage.
10:00 a.m. – 10:15 a.m.
Break
10:15 a.m. – 11:15 a.m.
Concurrent Sessions:
Exempt Offerings and Crowdfunding*
This session focuses on industry and regulatory developments related to private placements and public offerings registered under Reg A+. 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 investors and discuss Regulatory Notices 20-21 and 21-26, as well as recent guidance to broker dealers and funding portals concerning crowdfunding offerings.
Communications Review Workshop #2
Back by popular demand, this second highly interactive and dynamic session enables attendees to apply the communications rules to several mock communications 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.
11:15 a.m. – 11:30 a.m.
Break
11:30 a.m. – 12:30 p.m.
Plenary Session – Compliance Considerations for Artificial Intelligence in Firm Communications*
Hear from FINRA staff and other experts as they share their perspectives on the growing application of Artificial Intelligence (AI) by firms and regulatory implications for industry supervision of firm communications, including chatbot communications and AI-generated communications.
12:30 p.m.
Conference Adjourns