Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’
Chicago, IL
June 4, 2019
Agenda
8:30 a.m. – 9:00 a.m.
Registration
Continental Breakfast
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Vetting New Products and Supervising Complex Products
Review and discuss sound practices for vetting new and complex products
June 4th, 2019
9 a.m. - 1:30 p.m.
FINRA District Office
55 West Monroe Street
Chicago, IL 60603
(312) 899-4400
Topics
Vetting New Products and Supervising Complex Products
Outside Business Activities and Private Securities Transactions
Register - $195
San Diego, CA
August 9, 2018
Agenda
8:30 a.m. – 9:00 a.m.
Registration
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Social Media and Digital Communications Compliance
Discuss the content and supervision standards that apply to all electronic communications
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
Frequently Asked Questions (FAQ) about OTC (ATS & Non-ATS) Transparency
Following are FAQs about FINRA’s research conflicts of interest rules.
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
