|
National Futures Association
Promotional Material Workshop/Small Firms Workshop
Monday, May 19, 2008
UBS Conference Center
Chicago, Illinois
NFA announces two half-day workshops for NFA Members and futures compliance professionals on Monday, May 19, 2008 in Chicago. The workshops will be held at the UBS Conference Center, located at One North Wacker Drive. The morning workshop will cover all aspects of promotional material rules and regulations, while the afternoon workshop will address small firm regulatory issues and compliance practices. Participants may choose to attend either of the workshops or both.
Promotional Material Workshop Agenda
|
|
|
| 8:00 a.m. - 8:30 a.m. |
Registration and Continental Breakfast |
| 8:30 a.m. - 8:45 a.m. |
Opening Remarks |
| 8:45 a.m. - 10:15 a.m. |
Rule 2-29
This session will cover NFA Compliance Rule 2-29 and how it applies to various types of promotional material.
Panelists:
Michael Philipp, Winston & Strawn LLP
Michael J. Mason, MF Global
David Croom, Manager, NFA
Nancy Lukasik, Senior Analyst, NFA
Jane Pfeiffer, Senior Analyst, NFA
|
| 10:15 a.m. - 10:30 a.m. |
Refreshment Break |
| 10:30 a.m. - 11:45 a.m. |
Developing Promotional Material
The panelists will lead the group in exercises designed to demonstrate how to prepare promotional material that meets NFA guidelines. Particular attention will be paid to developing content for a Web site.
|
Small Firms Workshop Agenda
|
|
|
| 1:00 p.m. - 1:30 p.m. |
Registration |
| 1:30 p.m. - 1:45 p.m. |
Opening Remarks |
| 1:45 p.m. - 3:15 p.m. |
Getting Started
This session will cover registration requirements, how to develop written supervisory procedures and how to prepare for your first NFA audit.
Panelists:
David M. Matteson, Drinker Biddle & Reath LLP
Joanne Rizzio, R.J. O'Brien and Associates
Patricia Cushing, Associate Director, Compliance, NFA
Melissa Slade, Manager, Compliance, NFA
|
| 3:15 p.m. - 3:30 p.m. |
Refreshment Break |
| 3:15 p.m. - 4:45 p.m. |
Compliance Issues
The panelists will review recordkeeping and filing requirements, supervision and other issues relevant to small firms, including implementing an anti-money laundering program.
|
Registration
The fee for attending each workshop is $100 per person for NFA Members and $150 per person for non-NFA Members. If attending both workshops, the total fee is $150 for Members and $250 for non-Members. Be sure to indicate on your registration form which workshop(s) you plan to attend.
Registration fees include all meeting materials and refreshment breaks. However, lunch will not be provided.
Online registration is for credit card transactions only. To register using this method, complete the online registration form.
You can also register by downloading the registration form from NFA's Web site and mailing it with a check or money order to: National Futures Association, Member Workshop, Box 98383, Chicago, IL 60693-0001. Please make checks payable, in U.S. funds, to National Futures Association. Payment must be made at the time of registration.
Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. Registrations without payment are considered incomplete and therefore are not processed.
Registration may not be sent via overnight mail.
Dress Code
Dress for the conference is "business casual" (suits and ties are not required).
Hotel Information
Click here to view a list of hotels near the UBS Conference Center.
Cancellation Policy
Cancellations for the conference must be received on or before May 12. All cancellation notices should be sent to ldyekman@nfa.futures.org.
Registration fees will be fully refunded if cancellation notice is received within the guidelines provided. After May 12, workshop registration fees are non-refundable. However, there is no charge for switching attendees within the same firm.
|