App | FunctionalityWithin the app, you can navigate the conference venue, complete the conference survey and network with other conference attendees.

00 Conference Agenda

00 Wi-Fi Code AccessNetwork: Marriott_ConfWi-FiCode: finra1939

00 Conference App Information

00 CRCP CE Credit Information

00 Conference Map

FINRA South Region Compliance Seminar

December2–3,2015

New Orleans, LA

TipSheet | South Region Compliance Seminar AppRegistered attendees are granted access to the FINRA South Region Compliance Seminar app. All materials—including session presentations, handouts and the conference schedule— are available through it.

NEW ORLEANS MARRIOTT | HOTEL MAP

THIRD FLOOR

SECOND FLOOR

Galerie 6Galerie 3

Galerie 5Galerie 2

Galerie 4Galerie 1Quarter Tower Elev. Esca

lato

rs t

o/fr

om L

obby

, 3rd

Flo

or

SalonH

Quarter Tower Elev.

Escalators to/from Lobby, 2nd Floor

Esca

lato

rs t

o/fr

om

Lobb

y, 2

nd

Floo

r

Escalators to/from Lobby, 3rd Floor

MA

RDI G

RAS

FOYE

R

MA

RDI G

RAS

BA

LLRO

OM

AC

AD

IASchedule:See the full event schedule. Select a specific session to access the session description, speaker information and associated materials, and to take notes.

Attendees:Search for a specific person or tap “Everyone” for the entire attendee list. Send in-app messages to other attendees using the message icon. To update your information or opt out of Networking, tap “Profile” and enter your information or uncheck “Enable Networking.”

Survey:Submit feedback on the overall conference experience via the app home page. Please note: Once you start the survey, if you navigate away from the page, your answers will not be saved.

SessionQuestions:Ask a question through the app by selecting the session, typing your question and then tapping submit.

Studio 9

SalonG

SalonF

SalonE

SalonD

SalonA

SalonB

SalonC

WEDNESDAY,DECEMBER2

8:00 a.m. – 5:00 p.m. | Registration | Mardi Gras Foyer

10:00 a.m. – 10:35 a.m. | Welcome Remarks and Keynote Address | Mardi Gras Ballroom

10:35a.m.–11:35a.m.00 PlenarySessionI– A Look Back at 2015

Regulatory Priorities and a Preview of 2016 | Mardi Gras Ballroom

11:35 a.m. – 12:45 p.m. | Networking Lunch | Acadia

12:45p.m.–1:45p.m.|ConcurrentSessionI

00 Identifying and Addressing Conflicts of Interest | Mardi Gras Ballroom

00 Issues Affecting Registered and Associated Persons | Galeries 1-2

00 FINRA Qualification Exam Program Restructure and Web Delivery of CE | Galerie 3

1:45 p.m. – 2:00 p.m. | Break

2:00p.m.–3:00p.m.|ConcurrentSessionII

00 Regulatory Inspections, Examinations, Reviews and Compliance Practices | Mardi Gras Ballroom

00 Detecting and Preventing Fraudulent Investment Schemes | Galeries 1-2

00 Variable Annuities: Procedures, Practices and Findings | Galerie 3

3:00 p.m. – 3:15 p.m. | Break

3:15p.m.–4:15p.m.|ConcurrentSessionIII

00 Branch Office Supervision: Protecting Your Practice | Mardi Gras Ballroom

00 The Who, What and Why of Enforcement Case Studies | Galeries 1-2

00 Fixed Income: What’s on the Horizon? | Galerie 3

4:15 p.m. – 4:30 p.m. | Break

4:30p.m.–5:30p.m00 PlenarySessionII– Ask FINRA Staff

| Mardi Gras Ballroom

5:30 p.m. – 7:00 p.m. | Networking Reception | Acadia

THURSDAY,DECEMBER3

7:30 a.m. – 8:30 a.m. | Continental Breakfast

8:30a.m.–9:30a.m.00 PlenarySessionIII– Senior Investors:

Protecting and Understanding Their Needs | Mardi Gras Ballroom

9:30 a.m. – 9:45 a.m. | Break

9:45a.m.–10:45a.m.|ConcurrentSessionIV

00 Effective Steps to Combat Money Laundering | Mardi Gras Ballroom

00 Tips and Considerations for Supervising Independent Contractors | Galeries 1-2

00 Variable Annuities: Procedures, Practices and Findings | Galerie 3

10:45 a.m. – 11:00 a.m. | Break

11:00a.m.–12:00p.m.00 PlenarySessionIV– Cybersecurity:

Understanding the Exposure | Mardi Gras Ballroom

12:00p.m.00 ClosingRemarks/SeminarAdjourns

| Mardi Gras Ballroom

TWITTER | Follow @FINRA_education and tweet your comments and questions with #finrasr.

Over the next two days, you’ll attend educational sessions, and have opportunities to network with peers and interact one-on-one with FINRA representatives. We’ve prepared this program to help you navigate the conference.

Download the Conference AppDownload the South Region Compliance Seminar app for access to all conference materials—including session presentations, handouts and session descriptions. See the App Tip Sheet 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 South Region Compliance Seminar.

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

WELCOME

ReceiveCRCPCECredits

Certified Regulatory and Compliance Professionals (CRCPs) may earn eight (8) hours of CE credit for attending the conference. Visit www.finra.org/crcp for more information and to get credit for attending.