2023 FINRA Annual Conference
Agenda | May 16-18, 2023
All times are listed in Eastern Time. All sessions are streaming live.
Monday, May 15
5:00 p.m. – 7:00 p.m.
Registration
Tuesday, May 16
7:30 a.m. – 6:00 p.m.
Registration
7:30 a.m. – 5:30 p.m.
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
7:30 a.m. – 10:00 a.m.
General Breakfast & Seating
10:00 a.m. – 10:10 a.m.
Plenary Session: Welcome Remarks
10:10 a.m. – 10:30 a.m.
Plenary Session: Keynote Address
10:30 a.m. – 11:00 a.m.
Plenary Session: Fireside Chat
11:00 a.m. – 11:15 a.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
11:15 a.m. – 12:15 p.m.
Concurrent Sessions:
Current Trends and Threats in Financial Crimes: A Conversation With U.S. Government Regulators and Law Enforcement
In this session, FINRA staff and government experts discuss the latest developments in financial crimes including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime and sanctions.
Private Placements: The Latest Regulatory Developments and Compliance Considerations
Join panelists as they perform a deep dive into private placement regulatory developments as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more.
An Exclusive View Into FINRA's Membership Application Program (MAP)
During this session, attendees learn about FINRA’s processes for evaluating proposed business activities as well as insight into application trends, MAP transformation and new MAP initiatives.
12:15 p.m. – 1:15 p.m.
Lunch Break
General Lunch
New Attendee Luncheon
Certified Regulatory and Compliance Professionals (CRCP)® Program Luncheon for Graduates
1:15 p.m. – 2:00 p.m.
Dessert With Exhibitors
2:00 p.m. – 3:00 p.m.
Concurrent Sessions:
The Inside Scoop on Insider Threats and Cybersecurity
Join this session to learn about the compounding risks of insider and related cyber threats, where they can occur, and why your firm should focus on evolving your programs to detect and mitigate insider activity.
Advanced Analytics: Capabilities to Enhance, Inform and Empower Decision Making
Explore the world of advanced analytics as panelists provide guidance and expertise in implementing, creating, and using analytics to harness data, connect the dots, and empower decision making throughout their organizations.
Financial Responsibility Rules and Relevant Touchpoints
Panelists discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311 and other topics including liquidity, fully-paid lending, and securities based swaps.
3:00 p.m. – 3:15 p.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
3:15 p.m. – 4:15 p.m.
Plenary Session: Diversity, Equity and Inclusion
As the focus on diversity and inclusion in the financial services industry increases, it is important that employers attract, develop and retain the best talent of all backgrounds. This session aims to increase the awareness of diversity and inclusion and explains how to promote and maintain a diverse and inclusive culture within our firms or industry.
4:15 p.m. – 4:30 p.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
4:30 p.m. – 5:30 p.m.
Plenary Session: Keynote Address: Guest Speaker TBA
7:30 p.m. – 9:30 p.m.
Opening Night Reception
Wednesday, May 17
7:30 a.m. – 6:00 p.m.
Registration & Information
7:30 a.m. – 6:30 p.m.
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
7:30 a.m. – 9:00 a.m.
General Breakfast
9:00 a.m. – 10:00 a.m.
Concurrent Sessions:
The Evolution of Branch Office Inspections
Discover lessons learned from the transition to remote branch inspections. Panelists discuss tools and documentation strategies, vendor alternatives, "red flags", as well FINRA inspections and other regulatory developments.
Market Regulation and Transparency Services Priorities: What You Need to Know
During this session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs.
The Firm Perspective on Monitoring and Protecting Against Financial Crimes
Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering.
10:00 a.m. – 10:15 a.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
10:15 a.m. – 11:00 a.m.
Concurrent Sessions:
Enforcement: Latest Developments and Trends
Hear about the latest enforcement developments directly from the Director of the SEC’s Enforcement Division and the Acting Head of FINRA Enforcement. Panelists discuss recent priorities and events that exemplify their priorities and provide guidance on regulatory and compliance best practices.
Protecting Senior and At-Risk Investors
Join panelists as they discuss various resources, tools and regulatory guidance to help firms build programs to bolster the protection of senior and at-risk investors.
Working With FINRA: Effective Practices and Proactive Dialogue
In this session, attendees learn more about how to effectively collaborate with FINRA. Panelists share success stories of firms collaborating with FINRA Risk Monitoring Analysts and Examiners and discuss how firms can play a role in strengthening industry and regulator partnerships.
11:00 a.m. – 11:15 a.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
11:15 a.m. – 12:15 p.m.
Concurrent Sessions:
Current Issues Under Regulation Best Interest and Form CRS
Regulators and industry practitioners discuss current topics and lessons learned on Reg BI and Form CRS from all angles, including firm effective practices and examination experiences.
Market Structure: Current Developments and Future Trends
During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities.
Capital Formation: Current Regulatory Landscape and Challenges
Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation.
12:15 p.m. – 1:15 p.m.
Firm Grouping Networking Lunch
1:15 p.m. – 1:45 p.m.
Dessert With Exhibitors
1:45 p.m. – 2:45 p.m.
Concurrent Sessions:
Redefining Communications Compliance for the Digital Age
As we rely increasingly on mobile apps, social media and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s “finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approaching chatbots and the metaverse.
Leveraging Regulatory Technology for Your Firm
During this session, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing.
Hot Topics in Municipal Securities and Other Fixed Income
This session covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11.
2:45 p.m. – 3:00 p.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
3:00 p.m. – 3:45 p.m.
Concurrent Sessions:
A View Into FINRA's Examination, National Cause and Financial Crimes Detection, and Risk Monitoring Programs
Join FINRA personnel for a discussion on current examination priorities, emerging issues, and effective regulatory and compliance practices demonstrated by the industry.
Consolidated Audit Trail (CAT): What You Need to Know
Join this session to better understand firms' obligations, effective practices, available resources and FINRA examination focuses related to the Consolidated Audit Trail (CAT).
Complex Products: Top Concerns and Developments
This session helps attendees better understand top concerns, considerations and developments related to complex products.
3:45 p.m. – 4:00 p.m.
Break
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
4:00 p.m. – 4:45 p.m.
Concurrent Sessions:
Crypto Asset Developments
This session discusses recent developments in the crypto assets space and provides an overview of FINRA’s crypto asset team.
Understanding U4/U5 and 4530 Disclosure Reporting
Join experts as they deep dive into disclosure reporting requirements for 4530 reporting and Forms U4/U5 and tips for the review process.
Best Practices for Implementing Firm Policies and Procedures in Response to Regulatory Changes
Join a panel of FINRA staff and industry practitioners who share tips and strategies for policy and procedure changes in responses to new or updated rules and regulations.
4:45 p.m. – 7:00 p.m.
Networking Reception
Thursday, May 18
7:30 a.m. – 11:00 a.m.
Registration & Information
7:30 a.m. – 9:00 a.m.
Firm Grouping Networking Breakfast
9:00 a.m. – 9:30 a.m.
Plenary Session: Fireside Chat
9:30 a.m. – 9:45 a.m.
Break
9:45 a.m. – 10:45 a.m.
Plenary Session: Compliance and Legal Trends
Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.
10:45 a.m. – 11:00 a.m.
Break
11:00 a.m. – 12:00 p.m.
Plenary Session: Ask FINRA Senior Staff
During this session, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.
12:00 p.m.
Conference Adjourns