2024 FINRA Annual Conference Agenda

2024 FINRA Annual Conference | May 14-16 | Washington, DC

Monday, May 13

5:00 p.m. – 7:00 p.m.

Registration & Information

5:00 p.m. – 7:00 p.m.

New Attendee Reception

Tuesday, May 14

7:30 a.m. – 6:00 p.m.

Registration & Information

8:30 a.m. – 10:00 a.m.

Continental Breakfast & Seating

10:00 a.m. – 10:45 a.m.

Plenary Session – Welcome Remarks and Fireside Chat
Session Description: Join this session to hear perspectives from FINRA leadership and the Board of Governors on today's regulatory landscape and how firms can successfully navigate change to stay in pace with regulatory developments.

10:45 a.m. – 11:00 a.m.

Break
FINRA IDEA Booths
Networking With Exhibitors

11:00 a.m. – 11:50 a.m.

Concurrent Sessions:

Developments in Remote Supervision
Session Description: Join FINRA staff as they explore the latest remote supervision developments including the remote inspection pilot, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision protocols firms are adopting.

Promoting Market Integrity: FINRA’s Role in Market Structure
Session Description: Hear regulatory and industry perspectives on FINRA's role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market.

Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
Session Description: This session dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding.

11:50 a.m. – 12:50 p.m.

Lunch Break
General Lunch
New Attendee Luncheon
CRCP Lunch

12:50 p.m. – 1:15 p.m.

Desserts With Exhibitors

1:15 p.m. – 2:15 p.m.

Concurrent Sessions:

Modernizing Off-Channel Communications Supervision
Session Description: Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications.

The Latest in Private Placement Sales Oversight
Session Description: Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest.

Charting the Course: Essential Insights for Compliance Professionals in Navigating Change
Session Description: In a fast-paced regulatory environment, compliance professionals fill many roles to keep their firms compliant, minimize firm risks, and adapt compliance programs to meet changing regulatory requirements. Join this session for an engaging discussion on strengthening leadership and resiliency in an era of increasing demands through effective change management skill development.

2:15 p.m. – 2:30 p.m.

Break
FINRA Idea Booths
Networking With Exhibitors

2:30 p.m. – 3:15 p.m.

Concurrent Sessions:

Generative Artificial Intelligence and Large Language Models: A Look Ahead
Session Description: Artificial Intelligence (AI) is transforming the future and has unique implications for the financial sector. In this session, hear regulatory and industry perspectives on the current and future states of generative AI and large language models, the challenges presented through proprietary use, as well as opportunities and effective practices firms can employ to minimize risk.

Supervisory Considerations for Complex Products
Session Description: Attend this session to hear from FINRA and industry professionals as they share perspectives on the broad scope of complex investment vehicles and address both supervisory challenges and effective practices related to securities sales practices.

A View Into FINRA's Examination, National Cause and Financial Crimes Detection, and Risk Monitoring Programs
Session Description: Join FINRA's Member Supervision staff as they provide transparency into their operations and priorities and discuss top issues observed during examinations and investigations. You'll also hear how interactions with Risk Monitoring help inform examinations and investigations, and how results are considered by Risk Monitoring.

3:15 p.m. – 3:30 p.m.

Break
FINRA Idea Booths
Networking With Exhibitors

3:30 p.m. – 4:30 p.m.

Concurrent Sessions:

The Progression of Regulation Best Interest and Form CRS
Session Description: During this session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest.

FINRA’s Disciplinary Hearing Process
Session Description: Hear from FINRA staff as they broaden awareness about FINRA's disciplinary hearing process which highlights distinctions between self-driven hearings and administrative law judge hearings.

Fixed Income Securities Regulatory Outlook
Session Description: This session addresses the latest regulatory focuses related to municipal and other fixed income securities, including the IRS' de minimis rule and SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings and enforcement actions.

4:30 p.m. – 4:45 p.m.

Break
FINRA Idea Booths
Networking With Exhibitors

4:45 p.m. – 5:30 p.m.

Plenary Session – Leaders from US Government Provide Their Perspective on the Financial Industry Threat Landscape and Defending it From Cyber Attacks
Session Description: The financial industry faces growing threats from criminal actors and it is more imperative than ever that we understand the threat landscape to mitigate these threats. And with the financial industry becoming the most targeted sector for cyber attacks, it is more imperative than ever to take proactive steps to fortify your cybersecurity. Join this session for an exclusive perspective from executive leaders from the Federal Bureau of Investigation (FBI) and the National Security Council, The White House on the latest threat intelligence impacting the financial industry.

7:30 p.m. – 9:30 p.m.

Opening Night Reception

Wednesday, May 15

7:30 a.m. – 9:00 a.m.

Breakfast

9:00 a.m. – 10:00 a.m.

Plenary Session – A Conversation With the FINRA Board of Governors
Session Description: Hear from FINRA's Board of Governors on the most notable events from 2023, Board priorities for 2024, and guidance for firms on navigating changes as the industry landscape evolves.

10:00 a.m. – 10:15 a.m.

Break
FINRA Idea Booths
Networking With Exhibitors

10:15 a.m. – 11:15 a.m.

Plenary Session – Ask FINRA Senior Leaders
Session Description: During this session, FINRA senior staff provide updates on key regulatory issues and initiatives. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.

11:15 a.m. – 11:30 a.m.

Break
FINRA Idea Booths
Networking With Exhibitors

11:30 a.m. – 12:15 p.m.

Concurrent Sessions:

A View Into FINRA's Enforcement Program
Session Description: Hear directly from FINRA Enforcement staff as they share the latest enforcement trends, noteworthy cases, priorities, and learnings firms can leverage to strengthen their compliance programs.

Advances in Senior Investor Protection
Session Description: Gain insights into actions firms and regulators are taking to minimize the financial risks that target the aging investor population. Panelists share perspectives on the latest exploitation techniques and tools and effective practices that can be adopted to engage, inform and protect senior and at-risk investors.

Data Analytics: Insight Into Practical Implementation
Session Description: FINRA and compliance practitioners discuss how they are applying data analytics to enhance their business operations, regulatory functions and outcomes, and share thoughts on the opportunities, risks and challenges presented from evolving data models and technologies.

12:15 p.m. – 1:15 p.m.

Firm Grouping Networking Lunch
Lunch With the Regional Committees

1:15 p.m. – 1:45 p.m.

Desserts With Exhibitors

1:45 p.m. – 2:45 p.m.

Concurrent Sessions:

Crypto Assets: Trends, Regulatory Developments and Resources
Session Description: Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage.

Crowdfunding Capital Raises – Considerations for Broker-Dealers & Funding Portals
Session Description: This session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in compliance.

Investor Research: Practical Insights About Investors
Session Description: Attend this session to hear the latest qualitative and quantitative research on retail investor behaviors, knowledge and attitudes and population-specific trends, and learn how to leverage these data to market, educate and serve investors. Hear from panelists as they discuss findings, innovative outreach efforts and resources firms can leverage to strengthen their understanding of today’s retail investors.

2:45 p.m. – 3:15 p.m.

Break
FINRA Idea Booths
Networking With Exhibitors

3:15 p.m. – 4:15 p.m.

Concurrent Sessions:

Financial Crimes: Outpacing the Threats
Session Description: Hear how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat criminals.

Developments in Communications Supervision
Session Description: Join panelists as they address the latest developments in key communications topics including use of social media, foreign language translations practices, and product-related communications such as cryptocurrency, private placements and artificial intelligence.

Financial Management Trending Topics
Session Description: Join this session to learn about current developments in the world of financial responsibility, including the liquidity risk management proposal, segregation of client assets notice, and other notable topics addressed in the 2024 Regulatory Oversight Report.

4:15 p.m. – 4:30 p.m.

Break
FINRA Idea Booths
Networking With Exhibitors

4:30 p.m. – 5:15 p.m.

Concurrent Sessions:

Cybersecurity: Staying Ahead of the Threat Through Strong Cyber Programs
Session Description: Join this session to hear regulatory, law enforcement, and industry perspectives on the most prevalent cyber threats, the evolving regulatory focus on mitigating cyber risks and practical resources and tactics firms can employ to strengthen their cybersecurity programs.

FINRA'S Membership Application Program (MAP) – Avoiding Pitfalls, What’s New, and What’s Next
Session Description: Join the MAP Senior Leadership team for an in-depth discussion on FINRA’s Standards of Admission, the latest developments in the MAP process, including how the program continues in its efforts to help firms meaningfully demonstrate compliance address trends, risks, and issues in our evolving industry landscape, and optimizing the application process for constituents.

A View Into FINRA's Market Regulation and Transparency Services Program
Session Description: Join FINRA staff for an exclusive view into Market Regulation and Transparency Services and learn about their internal initiatives, rulemaking developments, proposed SEC rules and perspectives on what firms should consider for their securities compliance programs.

5:15 p.m. – 6:45 p.m.

Networking Reception

Thursday, May 16

7:30 a.m. – 12:00 p.m.

Registration & Information

7:30 a.m. – 9:00 a.m.