The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

Join us for a cybersecurity on vendor risk management. As the complexity and prevalence of cyber-attacks grow, it is more essential than ever for CCOs and firm leaders to understand how to effectively manage vendor risks. This 90-minute session covers the risks and threats associated with vendors, vendor lifecycle phases, controls and compliance, and actionable tips firms can leverage to strengthen vendor risk management programs.

As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-attacks. This session covers key aspects of the types of cyber threats firms can encounter, Incident Response frameworks, third-party risk considerations, and an interactive cyber tabletop exercise with actional tips firms can leverage to strengthen their cyber posture.

FINRA Fixed Income Regulation, Member Supervision, and Market Regulation are hosting a live webinar to provide key insights and discuss areas of focus for 2025 examinations and investigations related to fixed income securities and municipal advisory activities.