Small Firm Conference

Big Ideas. Small Firms.

November 11 – 12, 2015

Santa Monica, CA

00 Hear regulatory updates from senior FINRA staff.

00 Meet and interact with FINRA staff and industry practitioners.

00 Network and share ideas with peers.

00 Earn CRCP CE credits.

Agenda | Wednesday, November 110

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Wave After Wave of Compliance Solutions

12:00p.m. – 2:00p.m. Registration & Information

2:00p.m. – 2:15p.m. Welcome Address

2:15p.m. – 3:15p.m.Session 1 | Suitability: The Customer, Their Objectives and Firm Procedures

00 JoinindustrypanelistsandFINRAstaffastheydiscusshowsmallfirmsarecomplyingwithsuitabilityrequirements.Theysharesmallfirmapproachesto,amongotherthings,obtainingandanalyzingcustomers’investmentprofiles,performingreasonablediligenceandtrainingonsecuritiesproducts,andeffectiveanddeficientsupervisionofsuitabilitypractices.FINRApanelistsalsodiscusspossiblecompliancechallengesthatfirmsface.

3:15p.m. – 3:30p.m. Break

3:30p.m. – 4:30p.m.Session 2 | Outside Business Activities: Reviews, Approval and Monitoring

00 JoinindustrypractitionersandFINRAstaffastheycoverthekeyrequirementsoftheoutsidebusinessactivities(OBA)rules.FINRApanelistsdiscusscommonOBAdeficienciesfoundduringexaminations.Panelistsshareeffectivepracticesregardingpoliciesandproceduresforidentifying,documentinganddisclosingOBAs.

4:30p.m. – 5:30p.m. Networking Reception

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 gain insight and learn new approaches to top compliance issues including supervision, suitability, outside business activities, cybersecurity, and more.

For more information and to register, please visit www.finra.org/conferences/smallfirm3

8:00a.m. – 9:00a.m. Continental Breakfast

9:00a.m. – 10:00a.m. Session 3 | Supervision: From Procedures to Implementation

00 Thissessionprovidesanoverviewofthekeyrequirementsofthesupervisionrules.Joinindustrypanelistsastheysharetheirfirms’practicesforkeepingup-to-datewrittensupervisoryprocedures.Panelistsalsodiscusstheirproceduresforhiring,retainingandsupervisingpersonnel.

10:00a.m.– 10:15a.m. Break

10:15a.m. – 11:15a.m. Session 4 | Lessons Learned by Experienced CEOs of Broker-Dealers

00 Duringthissession,FINRAmoderatesadiscussionwithseasonedsmallfirmbusinessownersaboutthecommonpitfallsofnewfirms,andsharehelpfulhintsandeffectivepracticesthathavemadetheirbusinessmodelssuccessful.

11:15a.m. – 11:30a.m. Break

11:30a.m. – 12:30p.m. Session 5 | Operations Best Practices: Day-to-Day Responsibilities

00 Duringthissession,industrypanelistsandFINRAstaffdiscussoperationalbestpracticesforsmallfirms.Panelistsprovidestrategiestohelptaketheguessworkoutofassemblinganeffectivebackoffice.Learnhowpractitionersmanagethechallengestheyencounterandtheeffectivepracticestheyhaveimplementedtosimplifytheirday-to-dayresponsibilities.

12:30p.m. – 1:45p.m. Networking Lunch

1:45p.m. – 2:45p.m. Session 6 | Decode Cyber Risks and Security

00 Thissessionprovidesanoverviewofthelatestcybersecuritythreatsthatsmallfirmsface,andprovidespreventativemeasuresfirmscantaketoprotecttheirpractice.JoinindustrypanelistsandFINRAstaffastheyshareeffectivepracticestoprotectyourfirm’sdata.Panelistsdiscussreal-lifeexamplesofcyberbreachesandlessonslearned.

2:45p.m. – 3:00p.m. Break

3:00p.m. – 4:00p.m. Session 7 | Examination Priorities: Suggestions for Small Firms

00 ThissessionincludesadiscussionofFINRA’srisk-basedexaminationprogram,examinationpriorities,commonfindings,andpracticessmallfirmscanimplementtoprepareforaFINRAexamination.Industrypractitionersshare,amongotherthings,theirpracticesandrecommendationsforwhattodobefore,duringandafteranexamination.

4:00p.m. Conference Adjourns3

Agenda | Thursday, November 12

CRCP CE Credit

Attendance to this conference qualifies for seven (7) hours of continuing education credit for FINRA Institute at Wharton CRCPTM designees.

Speakers | Exhibitors | As of October 2015

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SpeakersWhitney Bullock WescomFinancialServices

Nicholas Cochran AmericanInvestorsCompany

Mark Cresap Cresap,Inc.

Kosha Dalal FINRAOfficeofGeneralCounsel

Myles Edwards Shufro,Rose&Co.,LLC

Allan Goldstein TradeInformaticsLLC

David Greene FINRALosAngelesDistrictOffice

Chip Jones FINRAMemberRelationsandEducation

David Kelley FINRAKansasCityDistrictOffice

Connie Kuhl MotifInvesting,Inc.

Christopher LeVasseur FINRALosAngelesDistrictOffice

Donald Lopezi FINRAWestRegion

David Martin KeystoneCapitalCorporation

Carolyn May SmithBrown&Groover,Inc.

Robert Muh SutterSecuritiesInc.

Linde Murphy M.E.Allison&Co.,Inc.

Han Nguyen FINRALosAngelesDistrictOffice

Sandy Pappalardo SorrentoPacificFinancial,LLC

Allison Petchenick B.Riley&Co.,LLC

Paige Pierce RWSmith&Associates,LLC

Joseph Romano RomanoBrothers&Co.

Lisa Roth Monahan&Roth,LLC

Donald Runkle CoordinatedCapitalSecurities,Inc.

Raymond Smith SmithBrown&Groover,Inc.

John Veator FINRAMemberRelationsandEducation

James Williams Gogan&Williams

Elizabeth Wilson O’NeilSecurities,Inc.

James Wrona FINRAOfficeofGeneralCounsel

For more information and to register, please visit www.finra.org/conferences/smallfirm3

ExhibitorsConferenceexhibitorsshowcaseawiderangeofproductsandservicesforbroker-dealerfirms.

00 Business Information Group (BIG)00 Docupace Technologies00 DST00 Foreside Financial Group00 Global Relay00 Herskovits PLLC 00 NRS00 Regulatory Compliance, LLC00 Smarsh00 Solomon Exam Prep00 Vertafore

For more information and to register, please visit www.finra.org/conferences/smallfirm3

Registration Information

* Availabletofirmsregisteringthree(3)ormoreemployeesatthesametimewiththesamecreditcard.Pleasefollowinstructionsintheregistrationsystem.

Conferencefeesincludeattendancetoallsessionsandconferencematerials,aneveningreceptiononWednesday,andcontinentalbreakfastandlunchonThursday.

Registration Rates

IN-PERSONFirst50Through

September4,201550+ or After

September 4, 2015

FINRA Member Firm $495 $695

Non-Member (Attorney) $995 $1,195

Non-Member (Consultant) $995 $1,195

Government/Regulator $450 $550

GROUP RATE (Per Person)*First50Through

September4,201550+ or After

September 4, 2015

FINRA Member Firm $420 $590

Non-Member $850 $1,010

How to RegisterToregister,pleasevisitwww.finra.org/ conferences/smallfirm3 andcompletetheonlineregistrationformusingyourcreditcard.Conferenceregistrationislimitedandavailableonafirst-come,first-servedbasis.Pleasenotethatthiseventisnotopentojournalists.

OnlineregistrationclosesonMonday,November9,2015.Ifyouexperiencedifficultiesregistering,pleasecall(202)728-6980oremailconreg@finra.org.

Confirmation Email

Paymentisrequiredatthetimeyourregistrationissubmitted.Youwillreceiveanemailconfirmationofyourcompletedregistrationformandpayment.Pleasemakesureyourregistrationhasbeenconfirmedpriortoyourarrivalonsiteattheconference.

Cancellation Policy

Forallregistrationcategories,afullrefundforregistrationfees,lessa$25processingfee,willbegrantedtowrittenrequestsreceived14daysormorepriortothestartoftheconference.RefundswillnotbegrantedafterOctober29,2015.

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Questions | Pleasedirectquestionsaboutregistrationto(202)728-6980oremailconreg@finra. org.

For more information and to register, please visit www.finra.org/conferences/smallfirm3

Hotel and Travel Information

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Hotel ReservationsAroomblockisavailableattheFairmontMiramarHotelandBungalow.Theinitialroomblockhassoldout,butthehotelstillhasPremierOceanViewRoomsavailableatthespecialrateof$349(plustax)pernight.BookyourhotelroomonlineorcalltheFairmontMiramarHotelandBungalowat(866)964-7262andidentifyyourselfasa2015FINRASmallFirmConferenceattendee.

Travel InformationFINRAsuggeststhatyoudonotpurchaserestrictedornonrefundableticketsfortraveltotheconference,especiallypriortothereceiptofyourregistrationconfirmation.FINRAassumesnoliabilityforpenaltiesorfareincreasesshouldtheconferenceselloutorintheunlikelyeventthatchangestotheconferencedatesand/orlocationbecomenecessary.

Pleasenotethathotelreservations,cancellations,andchargesaretheattendee’sresponsibility.

©2015FINRA.Allrightsreserved.15_0260.14–10/15

The 2015 Small Firm Conference takes place at:

Fairmont Miramar Hotel & Bungalows

101WilshireBoulevardSantaMonica,CA90401

Phone:(866)964-7262

Web:www.finra.org/conferences/smallfirm/hotel