Small Firm Conference

Transcription

1 November 8 9, 2017 Santa Monica, CA 2017 FINRA Small Firm Conference Gain insight on effective tips and solutions for small firms. Hear the latest regulatory updates. Effective Tips and Solutions for Small Firms Network and share ideas with peers, FINRA staff and industry practitioners. Earn CRCP, CLE and CFP CE credits.

2 Agenda FINRA s Small Firm Conference FINRA s Small Firm Conference focuses on practices and tips for complying with FINRA rules from the unique perspective of small firms. Attend this year s conference to learn new approaches and stay on top of small firm topics including, outsourcing and vendor management, compliance and supervision under the DOL rule, tips for screening and on-boarding personnel and more. Continuing Education (CE) Credits Attendance to this conference qualifies for Certified Regulatory and Compliance Professional TM (CRCP TM ), Certified Financial Planner (CFP) and Continuing Legal Education (CLE) continuing education credits. CLE attendees will receive a five (5)-credit CLE CE voucher from NACLE (National Academy of Continuing Legal Education) for attending the Small Firm Conference. Wednesday, November 8 12: p.m. 2: p.m. Registration 2: p.m. 2:15 p.m. Welcome Remarks 2:15 p.m. 2:45 p.m. CEO Address and Q&A Robert Cook, FINRA 2:45 p.m. 3: p.m. Networking Break 3: p.m. 4: p.m. Examination Priorities and Findings Join FINRA staff as they discuss FINRA examination priorities and common findings from cycle examinations of small firms. Industry practitioners and FINRA staff also discuss taking corrective action and updating supervisory systems and controls based on lessons learned from common examination findings. Moderator: Donald Lopezi, FINRA West Region Stephen Kohn, Stephen A Kohn & Associates, Ltd. Wendy Lanton, Lantern Investments, Inc. Stephen Mack, Mack Investment Services, Inc. 4: p.m. 4:15 p.m. Networking Break 4:15 p.m. 5:15 p.m. Compliance s Role in Hiring and Firing: Tips for Screening, On Boarding and Termination Join FINRA staff and industry panelists as they share their firm s practices for hiring, ongoing monitoring and terminating personnel. Panelists also discuss their procedures for screening and training new hires. Moderator: John Veator, FINRA Member Relations and Education Betsy Brennen, Harbor Investment Advisory, LLC Shawn McLaughlin, McLaughlin Ryder Investments, Inc. John Parmigiani, Allied Millennial Partners, LLC 5:15 p.m. 6:45 p.m. Networking Reception Small Firm Conference #FinraSFC Register at

3 Agenda continued Exhibitors Conference exhibitors showcase a range of products and services for broker-dealer firms. Current exhibitors include: ACA Compliance Group Breard & Associates, Inc. Compliance Risk Concepts LLC Docupace Technologies Global Relay Gordian Compliance Solutions, LLC INTL FC Stone Financial Inc. Mercer NCS Regulatory Compliance Quest CE Renaissance Regulatory Services, Inc. The SDDco Group Smarsh Solomon Exam Prep Trutelic, Inc. Vertafore WebCE FINRA has a limited number of exhibitor opportunities remaining for this conference. To secure your participation, contact Jeffrey Arcuri at (508) or Jeffrey.Arcuri@finra.org to request a conference exhibitor package. 2 Thursday, November 9 7:30 a.m. 8:30 a.m. Continental Buffet Breakfast 8:30 a.m. 10: a.m. Compliance and Supervision Under the DOL Rule Monitoring compliance with the DOL rule is a top priority for financial services firms. Due to the rule s complexity, this can present various challenges. In this session, attendees learn more about the changes in compliance and supervision procedures the rule would require. Moderator: Thomas Selman, FINRA Office of Regulatory Analysis Mari Buechner, Coordinated Capital Securities, Inc. Joseph Romano, Romano Brothers & Co. Lisa Roth, Tessera Capital Partners, LLC 10: a.m. 10:15 a.m. Networking Break 10:15 a.m. 11:15 a.m. Small Firms Assisting Small Businesses Raising Capital: A Discussion of Regulation A+, Regulation D and Direct Offerings This session focuses on business and regulatory developments related to the JOBS Act and how FINRA small firms can use Regulation A-plus (A+) and Regulation D to raise capital for clients. Join FINRA staff and industry panelists as they discuss recent trends in Reg A+, Regulation D and crowdfunding offerings. Moderator: Joseph Price, FINRA Corporate Financing/Advertising Regulation Sara Hanks, CrowdCheck, Inc. John Hullar, W.R. Hambrecht, Co. Darryl Steinhause, DLA Piper 11:15 a.m. 11:30 a.m. Networking Break 11:30 a.m. 12:30 p.m. Outsourcing and Vendor Management While outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and security regulations. During this session, FINRA staff and industry members address the use of third-party service providers. Panelists also discuss policies, procedures, and resources to effectively analyze new and existing vendors, how to oversee third-party providers and their services, and what to do when you terminate a vendor relationship. Moderator: Lance Burkett, FINRA Denver District Office Paige Pierce, Larimer Capital Corporation Joanne Salisbury, E.K. Riley Investments, LLC Harry Striplin, Umpqua Investments, Inc.

4 Agenda continued 12:30 p.m. 1:15 p.m. Networking Lunch 1:15 p.m. 1:45 p.m. Dessert With Exhibitors 1:45 p.m. 2:45 p.m. Capitol Hill Update Join panelists as they discuss how the new administration s initiatives and Congress are likely to affect the economy, industry sectors, tax reform and the markets. Moderator: Gregory Dean, FINRA Office of Government Affairs 2:45 p.m. 3: p.m. Networking Break Justin Daly, Daly Consulting Group Christopher Iacovella, Equity Dealers of America (EDA) Marliss McManus, Rep. Bill Huizenga, Chairman, House Financial Services Subcommittee on Capital Markets, Securities, and Investment 3: p.m. 4: p.m. Conflicts and Supervision of Associated Persons Outside Activities Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and mitigate. Join industry practitioners and FINRA staff as they cover conflicts arising from OBAs and PSTs, and the key legal requirements of, and practical tips for, supervising such activities. Panelists also discuss supervising dually registered advisors. Moderator: David Greene, FINRA Los Angeles District Office 4: p.m. Conference Adjourns Whitney Bullock, Wescom Financial Services, LLC Susana Dryden, Lighthouse Capital Group, LLC Donald Runkle, Coordinated Capital Securities, Inc Small Firm Conference #FinraSFC Register at

5 Speakers 4 Name Betsy Brennen Mari Buechner Whitney Bullock Lance Burkett Robert Cook Justin Daly Gregory Dean Susana Dryden David Greene Sara Hanks John Hullar Christopher Iacovella Chip Jones Stephen Kohn Wendy Lanton Donald Lopezi Stephen Mack Shawn McLaughlin Marliss McManus John Parmigiani Paige Pierce Joseph Price Joseph Romano Lisa Roth Donald Runkle Joanne Salisbury Thomas Selman Darryl Steinhause Harry Striplin John Veator Company Harbor Investment Advisory, LLC Coordinated Capital Securities, Inc. Wescom Financial Services, LLC FINRA Denver District Office FINRA Daly Consulting Group FINRA Office of Government Affairs Lighthouse Capital Group, LLC FINRA Los Angeles District Office CrowdCheck, Inc. W.R. Hambrecht, Co. Equity Dealers of America (EDA) FINRA Member Relations and Education Stephen A Kohn & Associates, Ltd. Lantern Investments, Inc. FINRA West Region Mack Investment Securities, Inc. McLaughlin Ryder Investments, Inc. Rep. Bill Huizenga, Chairman, House Financial Services Subcommittee on Capital Markets, Securities, and Investment Allied Millennial Partners, LLC Larimer Capital Corporation FINRA Corporate Financing/Advertising Regulation Romano Brothers & Co. Tessera Capital Partners, LLC Coordinated Capital Securities, Inc. E.K. Riley Investments, LLC FINRA Office of Regulatory Analysis DLA Piper Umpqua Investments, Inc. FINRA Member Relations and Education

6 Registration How to Register To register, visit and complete the online registration form using your credit card. Conference registration is limited and available on a first-come, first-served basis. If you experience difficulties registering, please call (202) or send an to conreg@finra.org. Confirmation You will receive an confirmation of your registration. Please make sure your registration has been confirmed prior to your arrival onsite at the conference. Cancellation Policy The special discounted rate for the first 50 in-person registrants is non-refundable. For all other registration categories, a full refund less a $50 processing fee will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after October 25, Fees In Person Individual First 50 Through 9/1/ or After 9/1/17 FINRA Member Firm must provide valid CRD # $550 $695 Non-Member $995 $1,195 Government / State / Regulator $450 $550 In Person Group* (Per Person) FINRA Member Firm must provide valid CRD # $475 $595 Non-Member $850 $1,010 * Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instructions in registration system. Conference fees include attendance to all sessions and conference materials, an evening reception on Wednesday, and continental breakfast and lunch on Thursday. Contact Information If you have any questions regarding this conference or for information about other administrative policies, please call (8) For registration information, please contact (202)

7 Hotel and Travel The 2017 Small Firm Conference takes place at: Fairmont Miramar Hotel & Bungalows, Santa Monica 101 Wilshire Boulevard Santa Monica, CA Toll free: (866) Hotel Reservations The room block at the Fairmont Miramar Hotel and Bungalows, Santa Monica is sold out. As an alternative, please check out other surrounding hotels in the area. Travel Information FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to the receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary. Please note that hotel reservations, cancellations, and charges are the attendee s responsibility FINRA Small Firm Conference App Our conference app is created specifically for Small Firm Conference attendees; it empowers our attendees to network and connect, and it provides conference details at your fingertips. The app will be available for download in the near future. It includes information about: speakers; sessions; exhibitors; continuing education; maps; and networking opportunities. 6