2016 Annual Conference

May 23-25, 2016

Washington, DC

Exhibitor Guide

1

The Annual Conference features more than 55 companies showcasing products and services designed to help you meet your compliance obligations. See pages 4-5 for a listing of all 2016 Annual Conference exhibitors, including each company’s booth number and the page number where the advertisement they provided is located within this guide.

Visit 25 Exhibitors and Receive an UP MOVE by Jawbone Activity Tracker

On, pages 65-66 of this Exhibitor Guide are spaces to receive stamps from each exhibitor. Bring the guide with you when visiting the exhibitors on Level 4, and collect stamps from each exhibitor when you meet with them. Collect at least 25 stamps on these pages during the conference, and then submit page 66 to the registration desk to receive your UP MOVE by Jawbone.

2016 FINRA Annual Conference | Exhibitor Guide

FINRA staff will be demonstrating various FINRA systems and online resources, and representatives from several FINRA departments will be available to answer questions. Visit them on Level 2 in the Marquis Ballroom Foyer.

00 Monday, May 23 | 9:00 a.m. – 5:30 p.m.

• Firm Compliance Tools: Report Center & BrokerCheck 2210 Resources

• Financial Professionals Gateway Concept

• Firm Gateway and E-Bill: FINRA's Financial Portal

• Member Relations & Education

• Office of the Ombudsman

• The Alert Investor

00 Tuesday, May 24 | 8:00 a.m. – 5:30 p.m.

• Advertising Regulation System

• Member Relations & Education

• Order Audit Trail System (OATS) and Tick Size Pilot Data Collection

• Office of the Ombudsman

• Request Manager and Regulatory Forms and Filings

• System Usability Testing

• The Alert Investor

FINRA Tools, Tips and Resources

Disclaimer: Use of any products, services and/or materials offered by these exhibitors does not ensure compliance regulatory requirements or create a safe harbor from regulatory responsibility. FINRA does not endorse these exhibitors or the products, services and/or materials they offer, and firms are not obligated to use them.

Plug In at the Power Lounge

00 Plug in to educational sessions via live broadcast.

00 Plug in and charge your mobile devices.00 Recharge with refreshments.

Monday1:00 p.m. – 5:00 p.m.

Tuesday8:00 a.m. – 5:00 p.m.

Wednesday8:30 a.m. – 11:00 a.m.

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2016 FINRA Annual Conference | Exhibitor Listings

Exhibitor Booth Page

ACA Compliance Group 21 6

Actiance 2 7

AI Insight, Inc. 1 8

BasisCode Compliance, LLC 48 9

Bates Group, LLC 50 10

Bloomberg Vault 7 11

Business Information Group (BIG) 9 12

CellTrust Corporation 27 13

CFA Institute 29 14

CFM Partners, Inc. 15 15

Charles Schwab 14 16

Compliance Science 47 17

Digital Reasoning 20 18

Docupace Technologies 45 19

ERADO 16 20

Fidelity Investments 38/39 21

FireSolutions 34 22

FIS Global 46 23

Foreside 17 24

Global Relay 22 25

GWAVA 11 26

Hearsay Social 42 27

IA Watch 30 28

IPC 44 29

Kaplan Financial Education 6 30

Knopman Marks Financial Training 54 31

Lansare 19 32

Law360 24 33

LexisNexis 40 34

Exhibitor Booth Page

McDonald Information Service, Inc. 49 35

Mercer Consumer 12 36

MyComplianceOffice 26 37

MobileGuard, Inc. 52 38

National Regulatory Service (NRS) 55/57 39

NSCP 25 40

Pearson VUE 23 41

Pinpoint Global Communications 3 42

Prometric 33 43

Proofpoint 28 44

Quest CE 37 45

Red Oak Compliance Solutions 35/36 46

RegEd 13 47

Regulatory Compliance, LLC 1A 48

SiteQuest Technologies 5 49

Smarsh 8 50-51

Solomon Exam Prep 18 52

StarCompliance 32 53

TD Ameritrade 3A 54

Thomson Reuters 10/10A 55

Trillium Labs, LLC 31 56

Vertafore 2A 58-59

Wiley 51 60

WithumSmith+Brown, PC 4 61

Wolters Kluwer ELM Solutions 41 62

World Informatix 53 63

6 7ACA Compliance Group | Booth 21 Actiance | Booth 2

8 9AI Insight, Inc. | Booth 1 BasisCode Compliance, LLC | Booth 48

10 11Bates Group, LLC | Booth 50 Bloomberg Vault | Booth 7

12 13Business Information Group (BIG) | Booth 9 CellTrust Corporation | Booth 27

14 15CFA Institute | Booth 29 CFM Partners, Inc. | Booth 15

16 17Charles Schwab | Booth 14 Compliance Science | Booth 47

18 19Digital Reasoning | Booth 20

Cognitive Computing Answers Daunting Questions:

www.digitalreasoning.comwww.digitalreasoning.com

g

Visit Us at Kiosk #20

• Are my employees, partners, or customers connected to rogue traders, criminal networks, or fraudsters?

• Is there fi nancial crime, fraud, collusion, or manipulation in my organization?

• Is my surveillance technology smart enough to uncover these risks?

Docupace Technologies | Booth 45

20 21ERADO | Booth 16 Fidelity Investments | Booth 38/39

22 23FireSolutions | Booth 34 FIS Global | Booth 46

24 25Foreside | Booth 17

Interested in learning more? Contact Us:Jennifer Hoopes

Business Head, Consulting and Global Business+1.207.553.7138 or jhoopes@foreside.com

Business-Focusedcompliance consulting

Consulting and CCO Support

FORESIDE

Customized Policies and Procedures• WSPs, BCP, AML, Cybersecurity

Gap Analysis and Risk Assessment

Regulatory Filings for Business Expansions and Changes

Portland, Maine • Berwyn, Pennsylvania • Boston, Massachusetts • Columbus, Ohio

Registered Representative Support• Registration, Annual Compliance Meetings,

Continuing Education, Inspections

Global Relay | Booth 22

26 27GWAVA | Booth 11 Hearsay Social | Booth 42

28 29IA Watch | Booth 30

GOSEARCH THE ARCHIVE

HOME BUYOUTS VENTURE CAPITAL JOURNAL RESEARCH CENTER PE HUB MARKETPLACE

Sign In | Request Trial

Intelligence | News | Features | LPs | Funds | Loans | Deals | People | Buyouts Beat | Current Buyouts | Video | Contact Us |

Home Buyouts

Hot Story Cover Story

Digital Edition

Top News & Analysis

Fund Database

Five Questions withRich Lawson, CEO, HGGC

books -- WSJ

Deal roundup

CalPERS commits $100 mln to Blackstone TacOpps co-investment fund

--

Michigan re-launches co-investment program to battle fees

--

KKR nears $2 billion deal for Air Medical

Thoma Bravo to exit Blue Coat in $2.4 bln sale to Bain

-

-

Danger ahead? LPs push pace of commitments

click here

Please click here to

Performance data for more than 2,000 funds

Mostpopular

Five Questions with Rich Lawson, CEO, HGGC

CalPERS commits $100 mln to Blackstone TacOpps co-investment fund

Deal roundup

Get your fully diligenced bids in early: Doug Ryder, Kirkland & Ellis

Danger ahead? LPs push pace of commitments 36

http://events.SignUp4.com/BOE15

Network with

Investors

Participate in our panels

Schedule 1:1

meetings

EXPAND YOUR NETWORKING AND GET DEALS DONE AT BUYOUTS EAST 2015!

Join us on March 24th -25th in Boston for 2+ days of unparalleled networking and intelligence. Whether you’re focused on fundraising or just looking to learn more about the trends taking shape, Buyouts East guarantees that you’ll meet more than 500 professionals in the biggest event of the year for senior decision-makers.

Plus GPs, can customize their networking opportunities with LPs by participating in our exclusive ExecConnect private meeting program: pre-arranged 1:1 meetings with LPs with mutual investment goals. Enrollment for ExecConnect is included with all GP tickets; and with more than 200 LPs attending, you’re sure to meet new investors eager to put money to work in the asset class.

BUYOUTSEAST

Who attends Buyouts East? More than 200 of the top LPs in the industry. Don’t miss your chance to rub

who have previously attended to give you a sense of the types of companies you’ll meet this year:

• Alcatel-Lucent Investment Management Corporation

• • ATP Private Equity Partners• Auda International• BAML Capital Access Funds• Bessemer Trust• Carleton College• Cornell University Endowment• Deutsche Bank Private Equity• DuPont Capital Management• Fisher Lynch Capital• Franklin Park• GE Equity• • Georgetown University• Grove Street Advisors• Guardian Life Insurance Company of

America•

• • • • Indiana Public Retirement System• Invesco Private Capital• J.P. Morgan Asset Management• Jordan Family Enterprises• • Liberty Mutual• MainePERS• Manulife Capital• Mass Mutual Financial Group• MetLife Investments• Morgan Creek Capital Management• Morgan Stanley Alternative Investment

Partners• New York City Retirement Systems• New York State Insurance Fund• New York State Teachers’ Retirement

System

• Northern Trust• • OCIF Capital Asia Co Ltd• PAAMCO• Pepperdine University• Perot Investments• PPM America Capital Partners• Rockefeller Financial• SCS Financial Services• Soros Fund Management• Stepstone Global• • Texas Employees Retirement System• The James Irvine Foundation• TIAA-CREF• TorreyCove Capital Partners• UBS Financial Services• • • Wilshire Private Markets

INSTITUTIONAL INVESTORS

200+

FUND MANAGERS

250+

DEAL AND FUND INTERMEDIARIES

150+

+1 (646) 223-6246 | robert.raidt@thomsonreuters.com

SAVE BIG AND REGISTER NOW!

27th Annual

www.buyoutsnews.com March 9, 2015 • Issue 6

Direct lenders accelerate into middle-market senior debt 5

SEC pursues cases of misallocated fees and expenses 8

Carlyle offers fee discounts on $2 bln middle-market fund 18

Salveo Capital seeks to invest in legalized marijuana 25

Pritzker Group aims to at least double PE portfolio 38

BU

YOU

TS Vol. 28, No. 6, M

arch 9, 2015 D

anger ahead? LPs push pace of comm

itments

IA Watch, a comprehensive compliance service that includes BD Watch:

ü Saves you time by providing proven, comprehensive compliance resources, best practices, guidance and customizable tools, all vetted by industry experts and your peers.

ü Saves you money by giving you all the resources you need to do your job more efficiently in one compliance service.

ü Keeps you compliant and exam-ready by helping you avoid costly, disruptive regulatory mistakes.

1-844-234-7281 | www.iawatch.com | customer@iawatch.com

IPC | Booth 44

30 31Kaplan Financial Education | Booth 6 Knopman Marks Financial Training | Booth 54

32 33Lansare | Booth 19 Law360 | Booth 24

34 35LexisNexis | Booth 40 McDonald Information Service, Inc. | Booth 49

36 37Mercer Consumer | Booth 12 MyComplianceOffice | Booth 26

38 39MobileGuard, Inc. | Booth 52 National Regulatory Service (NRS) | Booth 55/57

40 41NSCP | Booth 25 Pearson VUE | Booth 23

42 43Pinpoint Global Communications | Booth 3 Prometric | Booth 33

44 45Proofpoint | Booth 28 Quest CE | Booth 37

46 47Red Oak Compliance Solutions | Booth 35/36 RegEd | Booth 13

48 49Regulatory Compliance, LLC | Booth 1A SiteQuest Technologies | Booth 5

Eagle Eye automatically SEARCHES, DOCUMENTS, and

REPORTS on your web supervision activities.

SUPERVISING THE WEB DOESN’T HAVE TO BE DIFFICULT!

STOP BY BOOTH #5 TO LEARN MOREjames@sitequesttech.com

sitequesttech.com/EAGLE-EYE

QSSiteQuest is a leading-edge compliance software provider specializing in solutions that help firms supervise the web as well as archiving and moni-toring websites and blogs.

Eagle Eye clients have cut their work load by as much as 80%

50 51Smarsh | Platinum | Booth 8

52 53Solomon Exam Prep | Booth 18 StarComplinace | Booth 32

54 55TD Ameritrade | Gold | Booth 3A Thomson Reuters | Booth 10

56 Trillium Labs, LLC | Booth 31 FINRA SPACE

Attend Our Opening Night Reception

00 At the Smithsonian National Museum of American History

7:00 p.m. – 9:00 p.m.

00 Buses begin loading by the Marquis rear lobby (lobby level) at 6:30 p.m.

May 23, 2016

Broad Stripes. Bright Stars. Banner Event.

58 59Vertafore, Inc. | Gold | Booth 2

Advanced technology for securities compliance managementA connected, integrated approach to insurance and securities credentialing and compliance management.

Technologies• Reporting and Analytics

• Secure, scalable architecture with built in disaster recovery

• Back office and regulatory (NIPR, FINRA, Sircon State Departments of Insurance) integrations

Disclosure management

Securities registration and education management

Multi-carrier relationship and sales authorization

management

Insurance licensing and education management

Supervision hierarchy management

FEATURESVertafore® | Sircon® Solutions

© 2016 Vertafore, Inc. and its subsidiaries. All rights reserved. Trademarks contained herein are owned by Vertafore, Inc.

877.876.4430 | sircon.com

Keep business moving forward while maintaining complianceSircon for securities firms offers enhanced connectivity to share data between your organization, carrier partners, education providers, and regulatory stakeholders—in a highly secure, scalable environment.

Agents and

Advisors

CarriersAgencies

and Securities

Firms

Credentials, Relationships, Regulatory Transactions

and Filings

RegulatorsEducation Providers

Sircon Platform

Stop by the Vertafore stand outside the Mint room and preview the latest technology in securities compliance management.

60 61Wiley | Booth 51

Everything You Need To Pass Your

Securities Licensing Exam

Study with the Most Up-to-date MaterialsComprehensive and Concise Study Guide

Priceless Test-Taking Tips and Strategies

Glossary of Key Terms

100+ Practice Questions Per Exam

efficientlearning.com/finra

Series 3, 4, 6, 7, 9, 10, 24, 26, 55, 62, 63, 65, 66, 99

WithumSmith+Brown, PC | Booth 4

62 63Wolters Kluwer ELM Solutions | Booth 41 World Informatix | Booth 53

64 65Exhibitor Guide | NOTE PAGE Exhibitor Guide | STAMP PAGE

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Name

Title

Company Name

Phone Number

Email Address

Please return this page to the Conference Registration Desk. Smarsh | Platinum | Booth 8

Investor protection. Market integrity.

1735 K Street, NW Washington, DC 20006-1506

www.finra.org © 2016 FINRA. All rights reserved.

15_0325.19 – 05/16

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

2017 FINRA Annual ConferenceMay 16 – 18, 2017Marriott Marquis Washington, DC