2018 FINRA Disclosure Reporting, Monitoring and Registration Conference Agenda
October 9, 2018
New York, NY
Agenda
8:00 a.m. – 4:30 p.m.
Registration
8:00 a.m. – 9:00 a.m.
Networking Breakfast
9:00 a.m. – 9:15 a.m.
Welcome Remarks
9:15 a.m. – 10:15 a.m.
Session I: Regulatory Reporting Requirements
10:15 a.m. – 10:30 a.m.
Networking Break
10:30 a.m. – 11:30 a.m.
Session II: New CRD® —Transforming the Registration and Licensing Experience
11:30 a.m. – 12:30 p.m.
Networking Lunch
12:30 p.m. – 1:00 p.m.
Dessert With Exhibitors
1:00 p.m. – 2:00 p.m.
Session III: Qualification Examination Program Restructure and Regulatory Continuing Education (CE) Program Changes
2:00 p.m. – 2:15 p.m.
Networking Break
2:15 p.m. – 3:15 p.m.
Session IV: FINRA’s Membership Application Program (MAP)
3:15 p.m. – 3:30 p.m.
Networking Break
3:30 p.m. – 4:30 p.m.
Session V: Identifying and Assessing High-Risk Activity
4:30 p.m.
Conference Adjourns