REGULATORYCOMPLIANCE

September 9 through 11, 2013

Las Vegas, Nevada

At the New YorkNew York

Hotel and Casino

Focused. Informative. Interactive Conference.A new understanding of compliance. 2013

Produced by

unplugged

Regulatory Compliance is a nationally recognized securities industry compliance consulting firm. The company has been serving NASD/FINRA and SEC-registered firms since 1989. Our broker-dealer clients are full-service, mergers and acquisition, private placement and third-party marketers. Our registered investment advisory clients include wealth management, hedge fund and private equity fund firms. We provide our clients with FINRA/SEC/state registration, ongoing compliance consulting services, examinations and required testing, and financial and accounting reporting and services.

Our Regulatory Compliance 2013 Unplugged conference is intended for the CEO, CCO, COO, fund manager, compliance and operations staff and product manager. We will be marketing the conference to clients and non-clients. The conference format is highly interactive, and the sessions are designed to promote conversation, allowing you to be part of the session and to share your experiences and expertise (in a non-commercial manner) with the audience.

Sponsors and exhibitors will have direct access to all attendees during exhibit hall time, concurrent sessions, breakfast, lunch and cocktail hours. Our goal is to meet your conference expectations, including assisting you with introductions and setting up meetings if possible. Your visibility at the conference is a high priority and we will make every effort to accomplish this. Regulatory Compliance has a limited number of exhibitor opportunities available for the 2013 annual Regulatory Compliance Unplugged conference in Las Vegas, Nevada. Details for each opportunity are listed below.

Please call for pricing discounts for multiple sponsorships.

Table-Top Demo Stand – $3,500 (Early bird by March 1, 2013 – $3,000)Six-foot rectangular table-top located in our exhibitor area that is accessible to all attendees at select times during the conference. Continental breakfast (Tuesday) and breaks (Monday afternoon and Tuesday morning) will be served in this area, as well as a two-hour beer and wine reception on Tuesday evening. Table selection priority is given to exhibitors that submit full payment with registration commitment. For media needs, please contact Sarah Vaira.

Benefits include:• Insert in conference bag (One-page brochure or handout no larger than 8.5 x 11

is permitted – submit for approval to Sarah Vaira).• Company logo and 25-word description to be listed and linked on

electronic exhibitor page on Regulatory Compliance Unplugged conference website and various printed materials.

• One full-access conference registration for exhibitor. (Additional badges must be purchased for limited access –

no session, meals only – for $250 each).• One-time (mail or email) use of attendee list (post conference).

Badge Lanyards Sponsor – SOLD Lanyard design to be determined. Sponsor may suggest a design to be approved by Regulatory Compliance.

Exhibitor and Sponsor Information

For more information and to secure your participation, contact:

Sarah Vaira (603) 216-8919 sv@RegulatoryCompliance.com

register at rcunplugged2013.com

Register at RCunplugged2013.com

More sponsorship opportunities on following page.

Produced by

Conference Bag Sponsor – $1,750 Includes one paper marketing brochure or handout no larger than 8.5 x ll to be placed in conference bag each attendee receives upon arrival at conference. Submit for approval to Sarah Vaira.

General Session Lunch Host – $5,500Monday Afternoon (opening session)Includes signage at each entrance to ballroom and one full-access conference registration for session attendance.

Continental Breakfast Host – $4,000Tuesday MorningIn exhibitor area. Signage posted at breakfast station. If sponsor chooses to provide pre-approved branded materials, Regulatory Compliance must receive items prior to August 1, 2013.

General Session Lunch Host – SOLD Tuesday Afternoon (keynote speaker)

Beer and Wine Reception Host – $2,000*Tuesday EveningIncludes signage at each bar station in exhibitor area and one full-access conference registration for session attendance.

* $2,000 plus related costs, including drinks, bartender fees and branded items (estimated up to $9,000). Regulatory Compliance will invoice sponsor following conference for balance due. Deposit of $2,000 due with registration commitment. If sponsor chooses to provide pre-approved branded items, Regulatory Compliance must receive items prior to August 1, 2013.

General Session Breakfast Host – $5,500Wednesday MorningIncludes signage at each entrance to lunch station and one full-access conference registration for session attendance.

General Session Bagged Lunch Host – $5,000*Wednesday AfternoonIncludes signage at each entrance to ballroom and one full-access conference registration for session attendance.

* $5,000 plus costs for branded lunch sacks for packed lunches. If sponsor chooses to provide pre-approved branded lunch sacks, Regulatory Compliance must receive items prior to August 1, 2013.

Break Host – $2,500 Monday AfternoonIn exhibitor area. Signage posted at snack station. If sponsor chooses to provide pre-approved branded materials, Regulatory Compliance must receive items prior to August 1, 2013.

Break Host – $2,500Tuesday MorningIn exhibitor area. Signage posted at snack station. If sponsor chooses to provide pre-approved branded materials, Regulatory Compliance must receive items prior to August 1, 2013.

For more information and to secure your participation, contact:

Sarah Vaira (603) 216-8919 sv@RegulatoryCompliance.com

register at rcunplugged2013.com

REGULATORYCOMPLIANCE

Focused. Informative. Interactive Conference.A new understanding of compliance. 2013

unplugged

2013 Unplugged at NewYork NewYork Hotel & Casino in Las Vegas, NV September 9 through 11, 2013

Any questions related to the Regulatory Compliance Unplugged 2013 conference should be directed to: Sarah Vaira, (603) 216-8919 or sv@regulatorycompliance.com.

HYBRID BD & IA Clients, 52

BD Client, 636

IA Client, 393

ACTIVE PROSPECTS,

4388

Regulatory Compliance Profile

Regulatory Compliance is currently servicing over 1000 broker-dealer and investment adviser firms. 90% of our clients have been with Regulatory Compliance for more than a year. We are continually building strong, trusting relationships with new and existing clients. 5% of the existing client base includes dually-

registered (hybrid) BD and IA firms that obtain consulting services on both sides of their business.

59% of existing clients are FINRA-registered broker-dealers. We provide a variety of services to this group including:

o FINOP & accounting o Consulting o PartnerProgram o Exams & testing o CCO o Manual products

36% of existing clients are comprised of state and SEC registered investment advisory firms. These clients rely on us for the following services:

o Consulting o PartnerProgram o Exams & testing o Compliance Manuals o Risk assessments o ADV 1 & 2 filing o Compliance Training/Education

In addition to our solid client base, we maintain close relationships with over 4300 investment adviser and broker-dealer firms seeking products and services to assist in their compliance regime and maintain a strong business connection to our network. Regulatory Compliance has access to a comprehensive list of over 50,000 investment adviser firms and over 4500 FINRA members – all of whom are invited to join our educational, interactive event. Over the past 24 years, Steve Sussman CEO has built an extensive network of professionals in the securities industry. This includes securities attorneys, former regulators, experienced FINOPS, and well-rounded Chief Compliance Officers. These professionals work closely with FINRA regulators as well as SEC and state regulators to give the best possible consultations to our clients based on a Best Practices model.

2013 Unplugged at NewYork NewYork Hotel & Casino in Las Vegas, NV September 9 through 11, 2013

Any questions related to the Regulatory Compliance Unplugged 2013 conference should be directed to: Sarah Vaira, (603) 216-8919 or sv@regulatorycompliance.com.

EXHIBITOR/SPONSOR Commitment Form Thank you for exhibiting or sponsoring for the 2013 Unplugged Regulatory Compliance Conference. Please complete the information below and return with a 50-75 word description of your company as well as a high resolution JPEG file of your company logo.

Each Exhibitor/Sponsor is entitled to one full registration with option to purchase additional limited registrations at $250/person. Exhibitors and sponsors will receive a PDF copy of the attendee list. Mass-mailing is prohibited to this list. Exhibitor/Sponsor agrees to only market to individual registrants that have had direct contact with Exhibitor/Sponsor during the conference.

☐ Table-Top Demo Stand – $3,500 (Early bird by March 1, 2013 – $3,000)

Sponsor: ☐ Badge Lanyards Sponsor – $1,750 ☐ Conference Bag Insert Sponsor – $1,750

☐ General Session Lunch Host – $5,500 ☐ Continental Breakfast Host – $4,000

☐ Beer & Wine Reception Host – $2,000 ☐ General Session Breakfast Host – $5,500

☐ General Session Bagged Lunch Host – $5,000 ☐ Break Host – $2,500 (Monday)

☐ Break Host – $2,500 (Tuesday)

Contact Name:

Company Name:

Street Address:

City, State Zip:

Contact Direct Phone:

Company Phone:

Fax:

E-mail: Website: (this link will be used on the www.RCunplugged2013.com website)

Regulatory Compliance will accept payments in the form of check, AMEX, Visa, MasterCard. For check payments, please make checks payable to: Regulatory Compliance Conference Account 12 Parmenter Road Londonderry, NH 03053 For credit card, please enter information below: ☐ AMEX ☐ Visa ☐ MasterCard

Card holder Name:

Billing Address (if different from above):

Account Number

V-Code (3 digit for AMEX, 4 digit for Visa/MC):

Expiration Date (Month, Year):

Amount to charge to card: $

Cardholder Signature:

Date of authorization:

2013 Unplugged at NewYork NewYork Hotel & Casino in Las Vegas, NV September 9 through 11, 2013

Any questions related to the Regulatory Compliance Unplugged 2013 conference should be directed to: Sarah Vaira, (603) 216-8919 or sv@regulatorycompliance.com.

EXHIBITOR/SPONSOR Shipment Form The hotel has limited storage space available. Therefore, shipments to the hotel must be delivered between September 4, 2013 – September 6, 2013 no later than 3:00 pm. Shipments in advance of this period cannot be accepted. Shipments that require special handling should be coordinated through Sarah Vaira along with the Convention Services Manager at New York-New York. C.O.D. shipments or shipments that require a fork lift to unload will not be accepted. For ease of handling, packages and boxes should not be heavier than 100 pounds. Any boxes that are heavier must receive prior approval. Bag Advertisement Inserts should be shipped by August 1, 2013 to: Sarah Vaira Regulatory Compliance 12 Parmenter Road Londonderry, NH 03053 All exhibitor materials for table-top demo stands should be sent to: (NOTE: use bright labels or large print) New York-New York Hotel & Casino 3790 Las Vegas Boulevard South Las Vegas, NV 89109 Hold for: GUEST NAME / Hotel Room Confirmation # (required) / Company Name Box # of # Please provide detail of all packages you will be shipping/expecting for exhibitor materials:

Contact Name:

Company Name:

Street Address:

City, State Zip:

Contact Direct Phone:

Mobile Phone:

E-mail:

Hotel Confirmation #:

Hotel Room #:

# of Packages:

Expected Date of Arrival:

Shipping company: ☐FedEx ☐UPS ☐US Mail ☐Other: __________________

Tracking #’s:

Weight:

     Electrical Service is an exclusive service of the New York New York Hotel and Casino                                      All prices subject to change without notice.  

CITY: STATE:  ZIP CODE:

EHBITING COMPANY NAME:

BILLING NAME AND STREET ADDRESS:

TELEPHONE NUMBER:  EMAIL ADDRESS:

ORDERED BY: PRINT CARD HOLDER'S NAME: 

CC TYPE EXP DATE: CC#

CARDHOLDER'S SIGNATURE: CREDIT CARDSECURITY CODE (3 OR 4 DIGIT) 

EVENT NAME: EVENT DATES: LOCATION:

BOOTHNUMBER 

MAIL OR FAX FORMS WITH CREDIT CARD INFO TO:PRESENTATION SERVICES

3790 Las Vegas Blvd South, Las Vegas, NV 89109Phone: (702) 740‐6289            Fax: (702) 736‐7927                       NEED A RECEIPT? EMAIL: jchilders@psav.com 

Dedicated and 24 hour power will be at double thelisted price.  Please indicate these requirements in the 24 hour column at double the appropriaite rate. 

120 VOLTADVANCE

ORDER PRICE

120 VOLTLATE

ORDER PRICE

208 VOLT 10PRE SHOWPRICE

208 VOLT 10LATE 

ORDER PRICE 

QUANTITY OF120 VOLT

QUANTITY OF208 VOLTVOLT 10

QUANTITY OF 24 HOUROR DEDICATED POWER(DOUBLEPRICEOFOUTLET   REQUIRED)

SUBTOTAL

500Watt or 5 Amps $50.00 $75.00

1000 Watt or 10 Amps $75.00 $112.50

2000 Watt or 20 Amps  $125.00 $187.50 $465.00

30 Amps 

60 Amps

$593.00

$974.00

Outlets over 60 Amps  Important Note: Any outlet other than 120 Volt requires Labor and Materials.Outlets will not be installed with out a credit card on file PS.

Outlets and phases otherthan 120 or 208 volt

CALL FORQUOTE Total Outlets

ELECTRICAL MATERIAL  QUANTITY PRICE PER UNIT

25' Extension Cord  $15.00 + 8.1% NV State Sales Tax

6 Outlet Plug Strips  $15.00 + 8.1% NV State Sales Tax

Call PSAV for pricing on outlets and phases notindicated on this form, (i.e.; 480 volt, special                  or foreign voltages or outlets exceeding thoseindicated.

BY SIGNING AND DELIVERING THIS FORM CUSTOMER AGREES TO ALL TERMS AND CONDITIONS ON THIS FORM.   PLEASE READ THIS FORM THOROUGHLY FOR ALL INSTRUCTIONS PRIOR TO PLACING ORDER.

NO CHECKS ACCEPTED                                                                     

ELECTRICAL OUTLETS

Pricing is based on a 3 day show, additional days will require and additional 25% per day  Total Material

LABOR RATES: $75.00 Straight time / $112.50 Overtime  Total Labor LABOR: Labor between the hours of 8:00 a.m. and 5:00 p.m., Monday through Friday will be at the straight time labor rate.  Labor before 8:00 a.m. and after 5:00 p.m., Monday through Friday, and all day Saturdays, Sundays and Holidays will be at the overtime rate.  A minimum charge per booth of one hour for installation will apply to all booths requiring labor.  Labor to disconnect will be based on one‐half of the instaillation time and will be automatically applied to your invoice.  A floor plan is needed in order to proceed with the electrical distribution from overhead or on the floor.  Please indicate what type of labor assistance you will require by completing the appropriate information below.  Please indicate dates you would like work to commence.

DATE/TIME: Distribution under carpet: Overhead Distribution (where available) Lighting Fixtures: Equipment Hookup:

The New York New York Hotel and Casino nor its contractors or subcontractors are responsible for voltage fluctuation or power failure due to temporary condtions or loose connections.  For your protection you should install a surge protector / over‐under voltage protector on your computer(s) and/or other equipment you deem necessary.  Electrical contractor for NYNY should make installation and connections to all electrical service.  They will not be responsible for any damage or loss of equipment , component, computer hardware or software and/or any damage or injury to any person, caused by the installation, connection of plugging into any electrical outlet by persons other than their personnel.  

To receive advance prices PSAV must receive yourorder, with credit card information, fourteen(14) days prior to show opening, all other orders will  be processed at the late order rate. 

CALL FORQUOTE 

ELECTRICAL SERVICES FORM 

$310.00

$395.00

$649.00

                   

        All prices subject to change without notice.

CITY: STATE:  ZIP CODE:

EHBITING COMPANY NAME:

BILLING NAME AND STREET ADDRESS:

TELEPHONE NUMBER:  EMAIL ADDRESS:

ORDERED BY: PRINT CARD HOLDER'S NAME: 

CC TYPE EXP DATE: CC#

CARDHOLDER'S SIGNATURE: CREDIT CARDSECURITY CODE (3 OR 4 DIGIT) 

EVENT NAME: EVENT DATES: LOCATION:

BOOTHNUMBER 

MAIL OR FAX FORMS WITH CREDIT CARD INFO TO:PRESENTATION SERVICES

3790 South Las Vegas Boulevard, Las Vegas, NV 89109Phone: (702) 740‐6289          Fax: (702)736‐7927

NEED A RECEIPT? EMAIL: jchilders@psav.com 

BY SIGNING AND DELIVERING THIS FORM CUSTOMER AGREES TO ALL TERMS AND CONDITIONS ON THIS FORM.   PLEASE READ THIS FORM THOROUGHLY FOR ALL INSTRUCTIONS PRIOR TO PLACING ORDER.

NO CHECKS ACCEPTED                                                                     

AUDIO VISUAL SERVICES FORM To receive advance prices PSAV must receive your order, with credit card information, 

fourteen (14) days prior to show opening, all other orders will be processed at the late order rate.EQUIPMENT PRICES ARE PER DAY.

EQUIPMENT DESCRIPTION PRE LATE QTY DAYS TOTAL EQUIPMENT DESCRIPTION PRE       LATE    QTY DAYS TOTAL

PROJECTORS& PRESENTATION  AUDIO

LCD PROJECTOR $525.00 $575.00 WIRED MIC LAV OR HH $60.00 $70.00

COMPUTER KEYBOARD  $25.00 35.00 WIRELESS MIC LAV OR HH $180..00 $190.00

WIRELESS MOUSE  $55.00 $65.00 FLOOR MIC STAND  $10.00 $15.00

FLIP CHART W/MARKERS $70.00 $75.00 4‐CHANNEL MIXER $70.00 $80.00

POWERED SPEAKER  $110.00 $130.00

6' X 6' TRIPOD SCREEN  $85.00 $95.00 CD AUDIO RECORDER $150.00 $170.00

8' X 8' TRIPOD SCREEN  $85.00 $95.00 CD PLAYER  $60.00 $70.00

DATA (COMPUTER) MONITORS

32" ROLLING CART  $35.00 $40.00 19" LCD FLAT SCREEN  $150.00 $175.00

54" ROLLING CART $50.00 $55.00 32" LCD FLAT SCREEN $275.00 $300.00

VCR & VIDEOMONITORS (TV'S) Do not use with computers  40" LCD FLAT SCREEN  $425.00 $450.00

DVD RECORDER $185.00 $205.00 46" LCD FLAT SCREEN  $525.00 $550.00

DVD PLAYER 

IMAGE PRO 

32" VIDEO MONITOR 

$110.00

$400.00

$300.00

$140.00

$450.00

$350.00

MONITOR STAND  $75.00 $100.00

TOTAL EQUIPMENT 

8.1%NEVADA STATE SALES TAX 

M‐F 8AM ‐ 5PM ‐DELIVERY & PICKUP FEE $120.00COMPUTER

M‐F AFTER 5PM & BEFORE 8AM & ALL DAY SATURDAY & SUNDAY $180.00LAPTOP COMPUTER  $250.00 $300.00

LABOR ‐ SET UP & TEARDOWN TOTAL AUDIO VISUAL 

DELIVERY DATE REQUESTED:  DELIVERY TIME:STRAIGHT TIME

OVERTIME 

$75.00

$112.50 BOOTH CONTACT:

**NOTE: ALL LABOR OR DELIVERY REQUESTS AFTER 5:00PM AND BEFORE 8:OOAM WILL BE AT OVERTIME.  LABOR FEES ARE NON‐TAXABLE.

CONVENTIONSERVICES

BRYANT PARKB

BRYANT PARKA

GRAMERCY PARK

A

PARK TERRACE

CENTURYGUESTROOMELEVATORS

PARKREGISTRATION

DESK

MIDTOWN

UNION SQUARE

TRIBECA

GRAMERCY PARK

B

CENTRALPARK

B

C

A

CENTRALPARK

OFFICE

EMPIREGUESTROOMELEVATORS

SALESOFFICE