Join FINRA staff and industry panelist as they outline strategies to help you and your staff manage and diffuse emotional callers. During the session, panelists explore scenarios and provide tips on how to manage angry, frustrated, or emotional clients.

The Options Industry Conference is for FINRA to discuss topics of interest in the options market with firms that trade options. The panel focused on CAT, Best Ex and Account Takeovers / Intrusions.

This panel focuses on education and awareness about key developments in the digital assets market, including exploring issues related to broker-dealer’s involvement in the digital assets market and developments concerning DeFi and stablecoins. Join FINRA panelists and industry experts as they discuss these complex investments products and consider both the potential benefits and risks they present.

This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA Advertising Regulation Department experts provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials.

In this session, panelists discuss upcoming changes to the Securities Industry Continuing Education Program.

Join FINRA staff as they walk through the stages of a FINRA Investigation and Enforcement process. Panelists provide detailed descriptions of each step in the process, explain potential pitfalls, and suggest effective practices.

Panelists explore the evolving regulatory structure surrounding senior investor protections and the challenges facing financial services professionals when developing an effective, efficient and integrated protection framework.

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. Firms adjusted their branch inspection programs to accommodate remote work requirements and travel restrictions. Join FINRA staff and industry panelists as they share how they implemented their remote branch inspection plan using zoom, electronic documentation review and other technological tools. Panelists also discuss written supervisory procedures, red flags, and how they prioritize inspections.

This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices.

How can your firm effectively supervise high-risk activities and individuals, and how has Reg BI and the remote work environment impacted supervision in this area? What heightened monitoring should your firm conduct with respect to high-risk activities and individuals? Attend this session to hear FINRA staff and industry practitioners discuss practical examples of high-risk conduct and supervisory practices.

This session provides an overview of proposed financial and operational rules and the current rulemaking environment. Join panelists as they discuss current financial and operational risks and issues that firms address in their day-to-day responsibilities. Attendees also learn effective practices taken by compliance and risk professionals to monitor financial and operational risks.

Attend this session to hear helpful tips on complying with FINRA Rule 2210, Communications with the Public when creating, reviewing, approving, distributing or using retail communications concerning private placement offerings. Join panelists as they share helpful tips in identifying red flags in third-party prepared materials, the use of forecasts of issuers operating metrics, and distribution rates. Panelists also explain the process for filing offering documents, including retail communications, with FINRA.

Panelists discuss how COVID-19 challenges are impacting their cases, offer tips and resources for conducting effective Zoom virtual arbitration hearings, and share the latest in arbitration procedures.

A succession plan is vital to ensuring the continued success of your firm. Join FINRA staff and industry panelists as they discuss considerations for developing a succession plan that works for your business.

Join FINRA senior staff as they discuss their perspectives and insights on the importance of ensuring that diversity and inclusion remain a key commitment to firms in the financial services industry.

During this session, FINRA senior staff provide an update on key regulatory issues.

This panel focuses on recent developments in the digital assets space. Join FINRA panelists and industry experts as they explain how these products and related initiatives are evolving and impacting the securities industry.

This session provides an overview of new developments and trends in enforcement, including enforcement priorities. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices.

Today, social distancing is an important component of public health. However the isolation that results has important implications for financial decision making, fraud vulnerability, and cognition among older investors. Join this panel for a discussion of emerging research on these topics and steps you can take to further protect your clients.

COVID-19 has altered the world as we know it. While some have responded to it as an incident or singular event, in the world of countering criminal threats we are seeing the need to treat it as a sustained campaign. This panel will discuss the multitude of threats across the financial crimes’ spectrum perpetrated by an aggressive yet flexible adversary.

Attend this session to hear about the New FINRA Gateway, that will replace the current Firm Gateway. FINRA Gateway is an enhanced reporting and compliance user experience, which will roll out over the coming months.

During this session, FINRA staff discuss the migration of examination by business model including the firm grouping structure, how the Risk Monitoring and Examination teams coordinate, and what firms can expect going forward.

Join FINRA staff and industry panelists as they provide examples of effective controls and tools their firms have put into place to monitor and address cybersecurity risks.

Attend this session to hear from OCIE, FINRA staff and industry experts as they discuss how they intend to examine and inspect for compliance with Reg BI, including a discussion of implementation challenges, frequently asked questions, and issues that are being considered.

Join panelists as they discuss Regulation Best Interest and Form CRS, its impact on the industry and effective practices to help broker-dealers manage their obligations.