FINRA 2019 Institutional Conference Materials
This page provides electronic access to materials for registered attendees of the 2019 FINRA Institutional Conference. Materials are also available electronically via the conference app. Please check back regularly as we continue to add session materials; all materials will be posted by the start of the conference.
Session Materials
| Wednesday, September 11, 2019 | |
| 8:30 a.m. – 8:35 a.m. | Welcome and Opening Remarks |
| 8:35 a.m. – 9:05 a.m. | Fireside Chat Featuring FINRA President and CEO Robert Cook and Senior Vice President and Northeast Regional Director, Sales Practice William (Bill) St. Louis |
| 9:15 a.m. – 10:15 a.m. | Supervision of Trading Desk Operations |
| 10:30 a.m. – 11:30 a.m. | Conflicts of Interest |
| 12:30 p.m. – 1:30 p.m. | AML Challenges and Effective Practices |
| 1:45 p.m. – 2:45 p.m. | Common Examination Findings for Institutional Firms |
| 3:00 p.m. – 4:00 p.m. | Ask FINRA Senior Staff |
FINRA News
- FINRA360 Progress Report
- FINRA Industry Snapshot 2018
- 2019 Risk Monitoring and Examination Priorities Letter
Additional Conference Information
- Program-At-A-Glance
- Speaker Biographies
- All Session Materials
- App Tip Sheet and Tutorial
- Continuing Education (CE)
- FAQ
- Agenda
Other FINRA Programs
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