PROGRAM

2015 FINRA Annual Conference

00 Conference Agenda

00 Wi-Fi Code

00 Conference App Information

00 CE Credit Information

00 FINRA Systems Demo Schedule

00 and more

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Over the next three days, you’ll choose from nearly 40 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

00 Network: FINRA Conference00 Wi-FiCode: finra1939

Download Conference App

Download the Annual Conference app for access to all conference materials—including session presentations, handouts, session descriptions— and to sign up for office hours. 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 email address you used to register for the conference) and password (finra1939).

5. Select the FINRA Annual Conference.

6. Enter your user ID (the same email address as above) and password (finra1939) to log in to the conference app.

Review the Agenda & Floor Plan

Take a few moments to plan your days 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 staff members are available throughout the conference to discuss firm-specific issues. Visit the Conference Information Booth on Level 4 to make a 15-minute appointment, or sign up using the conference app. FINRA experts will be on hand to discuss:

00 AdvertisingRegulation00 Anti-MoneyLaundering00 FinancialResponsibilityRules00 MemberRegulation00 OATS00 Qualifications,ExamsandContinuingEducation00 Supervision

Receive CLE, CPE or CRCP CE Credits

Depending on your jurisdiction, the FINRA Annual Conference is eligible for CLE and CPE credit. Visit a Conference Information Booth on Levels 2 or 4 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 www.finra.org/crcp for more information and to get credit for attending.

Visit an Information Booth for Help

Information Booths are available throughout the conference, where you can:

00 findgeneralinformationabouttheevent;00 gethelpwiththeconferenceapp;00 signinandoutoftheconferenceforCLEandCPEcredit;

00 signupforOfficeHoursandmore.

See the conference map on pages 8-9 for locations.

WELCOME TO THE FINRA ANNUAL CONFERENCE

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App | Functionality

Within the app, you can navigate the conference venue, complete conference surveys and network with other conference attendees.

Schedule: Seethefulleventschedule.Selectaspecificsessiontoaccessthesessiondescription,speakerinformationandassociatedmaterials,andtakenotes.

Attendees: Seewhoisinattendance.Searchforaspecificpersonortap“Everyone”fortheentireattendeelist.ToupdateyourinformationoroptoutofNetworking,tap“Profile”andenteryourinformationoruncheck“EnableNetworking.”

Speakers: Seealistoftheconferencespeakers.Searchforaspeakerortaponthespeaker’snametoseebios,photosandallsessionswheretheyarepresenting.

My Favorites: Marksessions,speakers,otherattendees,etc.,asfavoritesbytappingthestaroneachscreen.FromMyFavorites,youcanviewyourpersonalizedschedule,selectedspeakers,contactsandyournotes.

Survey: Filloutsurveysforeachsession,andsubmitfeedbackontheoverallconferenceexperienceviatheappHomePage.

Session Questions: Askaquestionthroughtheappbyselectingthesession,typingyourquestionandthentappingsubmit.

App | Pointers

00 My Inbox –LocatedinMyFavorites,theinboxallowsyoutoreceiveandsendmessagestootherconferenceattendees.

00 Maps – TherearetwooptionsunderMaps.TheMapoptionprovidesahotelfloorplanfortheconferencespace.TheVenueoptionprovidesthehotelname,address,phonenumberandwebsite.

00 Surveys –Onceyoustartasurvey,ifyounavigateawayfromthepage,youranswerswillnotbesaved.Pleaserespondtoallquestionsandthensubmitthecompletedsurvey.

00 Downloading Session Materials –Downloadsessionmaterialsthroughtheapp.ViewthemfromMyDownloadslocatedunderMyFavorites.Additionally,youcanemaildownloadeditemstoyourself.

00 Emailing Options –Emailinformationwithintheapp,likenotesandspeakerbios,toyourself.ThroughouttheappareShareorArrowicons—taptheiconandchooseadeliverymethod,thenfollowtheon-screenstepstosendtheinformation.Additionally,fromMyFavorites,youcanemailotherconferenceattendees.

App Tips

Registered attendees are

granted access to FINRA’s

Annual Conference app.

All materials—including

session presentations,

handouts and the

conference schedule—

are available through it.

Help: Foronsiteassistance,visittheInformationBoothsattheconference.

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WEDNESDAY, MAY 27 | DAY ONE

8:00 a.m. – 6:30 p.m. | REGISTRATIONCapitol/CongressRoom–Level4

10:00 a.m. – 10:30 a.m.Plenary Session: Welcome RemarksMarquisBallroom1-5–Level2 | VIDEO

10:30 a.m. – 11:15 a.m.Plenary Session: Keynote Address – Donald Good, Deputy Assistant Director, FBI, Cybersecurity DivisionMarquisBallroom1-5–Level2 | VIDEO

11:15 a.m. – 11:30 a.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

11:30 a.m. – 12:30 p.m.Plenary Session: Top Ten Regulatory ConsiderationsMarquisBallroom1-5–Level2 | VIDEO

12:30 p.m. – 1:15 p.m.Lunch | MarquisBallroom6and10–Level2 Lunch With Small Firm Advisory BoardMarquisBallroom7-9–Level2

1:15 p.m. – 1:45 p.m.Dessert With ExhibitorsLiberty&IndependenceBallroomFoyers–Level4

1:45 p.m. – 3:00 p.m. | CONCURRENT SESSIONS I

00 Small Firm Focus – Supervision From Procedures to ImplementationLibertyBallroomL-M–Level4

00 Exploring Social Media, Technology Trends and Their ImpactsMarquisBallroom1-5–Level2 | VIDEO

00 Enforcement: Case StudiesIndependenceBallroomA-D–Level4

00 Effective Approaches to Risk ManagementIndependenceBallroomE-H–Level2 | VIDEO

3:00 p.m. – 3:15 p.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

3:15 p.m. – 4:30 p.m. | CONCURRENT SESSIONS II

00 Current Key Regulatory Initiatives in the Fixed Income MarketsIndependenceBallroomE-H–Level4 | VIDEO

00 Institutional Firm Hot TopicsIndependenceBallroomA-D–Level4

00 Detecting and Fighting Fraud: Present-Day StoriesLibertyBallroomL-M–Level4

00 Senior Investors: The Graying of AmericaMarquisBallroom1-5–Level2 | VIDEO

4:30 p.m. – 4:45 p.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

4:45 p.m. – 5:45 p.m. | CONCURRENT SESSIONS III

00 Small Firm Focus – Get Involved: FINRA Elections, Committees and Comment LettersIndependenceBallroomE-H–Level4 | VIDEO

00 Medium and Large Firm Focus – Cybersecurity: Formulating Procedures and Minimizing RiskMarquisBallroom1-5–Level2 | VIDEO

00 Alternative Investments and Complex ProductsIndependenceBallroomA-D–Level4

00 Back to Basics Compliance Program – Social Media and Public CommunicationsArchivesRoom–Level4(audio/video not available)

Opening Night Reception 6:30 p.m.

Buses begin loading at Marquis Rear Lobby

7:00 p.m. – 9:30 p.m.

Smithsonian National Air & Space Museum

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MARQUIS BALLROOMPLENARIES|1-5LUNCHES|6-10

LIBERTY BALLROOML-M

INDEPENDENCE BALLROOME-H | A-D

1-5

LEVEL 4

LEVEL 2

MARRIOTT MARQUIS WASHINGTON, DC

LEVEL 3

E-H

A-DREGISTRATION: CAPITOL/CONGRESS

L-M

6-10

INFORMATION BOOTH

OFFICE HOURS AND INFORMATION BOOTH

BREAKFAST, BREAKS AND EXHIBITORS

EXHIBITORS

INFORMATION BOOTH

FINRADEMOBOOTH

BACK TO BASICSSESSIONS

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8:00 a.m. – 7:00 p.m. | REGISTRATIONCapitol/CongressRoom–Level4

8:00 a.m. – 9:00 a.m.Continental Breakfast LibertyBallroomI-KSeatinginIndependenceBallroomA-D–Level4

Breakfast With Member Regulation Senior StaffIndependenceA-D–Level4

9:00 a.m. – 9:45 a.m.Plenary Session: Keynote Address– The Honorable French Hill (R-AR), Member of the U.S. House Committee on Financial ServicesMarquisBallroom1-5–Level2 | VIDEO

9:45 a.m. – 10:00 a.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

10:00 a.m. – 11:00 a.m. | CONCURRENT SESSIONS IV

00 Medium and Large Firm Focus—Financial and Operational ConsiderationsIndependenceBallroomA-D–Level4

00 Suitability: What You Need to KnowMarquisBallroom1-5–Level2 | VIDEO

00 What You Need to Know About Consolidated Account StatementsLibertyBallroomL-M–Level4

00 Looking Ahead: Research Rule DevelopmentsIndependenceBallroomE-H–Level4 | VIDEO

11:00 a.m. – 11:15 a.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

11:15 a.m. – 12:15 p.m. | CONCURRENT SESSIONS V

00 Small Firm Focus – Nuts and Bolts of Tri-Party ArrangementsLibertyBallroomN-P–Level4

00 Enhancing Anti-Money Laundering ProceduresMarquisBallroom1-5–Level2 | VIDEO

00 Outside Business Activities: Key Requirements and Leading PracticesLibertyBallroomL-M–Level4

00 Investment Banking: Compliance and Regulatory IssuesIndependenceBallroomE-H–Level4 | VIDEO

00 Preparing for Crowdfunding and the JOBS ActIndependenceBallroomA-D–Level4

12:15 p.m. – 1:15 p.m. | LunchMarquisBallroom6and7–Level2

12:15 p.m. – 1:30 p.m. | CRCP LunchMarquisBallroom8-10–Level2

1:15 p.m. – 1:45 p.m. | Dessert With ExhibitorsLiberty&IndependenceBallroomFoyers–Level4

1:45 p.m. – 2:45 p.m.Plenary Session: Compliance and Legal TrendsMarquisBallroom1-5–Level2 | VIDEO

2:45 p.m. – 3:00 p.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

THURSDAY, MAY 28 | DAY TWO

VIDEO = broadcast live over the Internet; all other sessions are AUDIO broadcast live unless otherwise noted.

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8:00 a.m. – 12:00 p.m. | REGISTRATION Capitol/CongressRoom–Level4

7:45 a.m. – 8:45 a.m.Diversity and Inclusion BreakfastLibertyBallroomN-P–Level4

8:00 a.m. – 9:00 a.m.Continental BreakfastLibertyBallroomI-KandLiberty&IndependenceBallroomFoyers–Level4

9:00 a.m. – 10:15 a.m. | CONCURRENT SESSIONS VIII

00 Identifying, Prioritizing and Managing Conflicts of InterestIndependenceBallroomA-D–Level4

00 Medium and Large Firm Focus – Supervision From Procedures to ImplementationIndependenceBallroomE-HLevel4| VIDEO

00 Communications With the Public: Rule Retrospective and BeyondMarquisBallroom1-5–Level2 | VIDEO

00 Small Firm Focus — A Practical Approach to CybersecurityLibertyBallroomL-M

10:15 a.m. – 10:30 a.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

10:30 a.m. – 11:45 a.m.Plenary Session: Ask FINRA Senior StaffMarquisBallroom1-5–Level2 | VIDEO

11:45 a.m. | CONFERENCE ADJOURNS

THURSDAY, MAY 28 | DAY TWO | continued FRIDAY, MAY 29 | DAY THREE

3:00 p.m. – 4:00 p.m. | CONCURRENT SESSIONS VI

00 Medium and Large Firm Focus – Common Examination Findings and Lessons LearnedMarquisBallroom1-5–Level2 | VIDEO

00 Top Technology ChallengesIndependenceBallroomA-D–Level4

00 Market Regulation Priorities: Detecting and Preventing MisconductIndependenceBallroomE-H-Level4 | VIDEO

00 Qualification Exam Restructure and Web CELibertyBallroomL-M–Level4

00 Back to Basics Compliance Program – SuitabilityArchivesRoom–Level4(audio/video not available)

4:00 p.m. – 4:15 p.m. | BreakLiberty&IndependenceBallroomFoyers–Level4

4:15 p.m. – 5:15 p.m. | CONCURRENT SESSIONS VII

00 Understanding the Arbitration and Expungement ProcessMarquisBallroom1-5–Level2 | VIDEO

00 Ethics and Professional Responsibility for Compliance and Legal ProfessionalsIndependenceBallroomA-D–Level4

00 Due Diligence: The Life Cycle of a ProductLibertyBallroomL-M–Level4

00 Small Firm Focus – Common Examination Findings and Compliance Practices: What Works and What Doesn’tIndependenceBallroomE-H–Level4 | VIDEO

00 Back to Basics Compliance Program – Anti-Money LaunderingArchivesRoom–Level4(audio/video not available)

5:15 p.m. – 7:00 p.m. | ReceptionLibertyBallroomI-KandLiberty&IndependenceBallroomFoyers–Level4

VIDEO = broadcast live over the Internet; all other sessions are AUDIO broadcast live unless otherwise noted.

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FINRA staff will be demonstrating various FINRA systems and online resources at the conference. Visit the demo booth located on Level 4—outside the Independence Ballroom—during the times listed below.

Take advantage of the many opportunities throughout the conference to meet with colleagues, exchange ideas and interact with FINRA committee members and FINRA senior staff. See the Conference App for more information.

00 Lunch With the FINRA Small Firm Advisory Board (SFAB)Wednesday,May27|11:45a.m.–1:15p.m.

00 Dessert With ExhibitorsWednesday,May27|1:15p.m.–1:45p.m.

Thursday,May28|1:15p.m.–1:45p.m.

00 Opening Night Reception at the Smithsonian National Air & Space MuseumWednesday,May27|7:00p.m.–9:30p.m.

00 Breakfast With Member Regulation Senior Staff Thursday,May28|8:00a.m.–9:00a.m.

00 Certified Regulatory and Compliance Professional (CRCP) LunchThursday,May28|12:15p.m.–1:30p.m.(pre-registration required)

00 Thursday-Night ReceptionThursday,May28|5:15p.m.–7:00p.m.

00 Diversity and Inclusion BreakfastFriday,May29|7:45a.m.–8:45a.m.

NETWORKING AND SPECIAL EVENTS DEMONSTRATIONS OF FINRA SYSTEMS

FINRA System/Online Resource

Date/Time

Dispute Resolution (DR) Portal

Thursday, May 282:45p.m.–3:00p.m.

E-Bill Thursday, May 289:45a.m.–10:00a.m.

eFocus Wednesday, May 2712:45p.m.–1:15p.m.

Thursday, May 288:30a.m.–9:00a.m.

FINRA Firm Gateway Wednesday, May 279:00a.m.–10:00a.m.

Thursday, May 288:00a.m.–8:30a.m.

FINRA.org Thursday, May 2811:00a.m.–11:15a.m.

OATS Wednesday, May 274:00p.m.–4:15p.m.

Report Center Wednesday, May 272:30p.m.–2:45p.m.

Request Manager Thursday, May 284:00p.m.–4:15p.m.

Thursday, May 285:30p.m.–5:45p.m.

Web CRD Reports, Disclosure and Snapshot

Thursday, May 281:15p.m.–1:45p.m.

Web CE Thursday, May 285:15p.m.–5:30p.m.

EXHIBITOR INFORMATION

Meet with representatives from more than 50 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.

Investor protection. Market integrity.

1735KStreet,NWWashington,DC20006-1506

www.finra.org©2015FINRA.Allrightsreserved.

15_0001.15–05/15

Thanks for attending. We hope to see you next year.

2016FINRAAnnualConferenceMay23–25,2016MarriottMarquisWashington,DC

GOLD LEVEL EXHIBITORS

SILVER LEVEL EXHIBITOR