Agenda is subject to change. Wednesday, January 225:00 p.m. – 7:00 p.m.Networking ReceptionThursday, January 237:30 a.m. – 8:30 a.m.Registration and Continental Breakfast8:30 a.m. – 9:45 a.m.Using Regulator Workspace to Prepare for an ExaminationDon’t be fooled by the new way data is displayed in Regulator Workspace. It’s all there and more! You just need a tour of how the data is
Register for the June 3 Small Firm Conference Call on the intersection of cybersecurity, fraud and financial crimes, with resources, tools and tips for mitigating risks. Registration is open to all member firms.
FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.Upcoming WebinarsFINRA Webinars: Third-Party Vendor RequestJoin these webinars for an overview of the Third-Party Vendor request. Hear
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
FINRA’s Third-Party Vendor request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. The first webinar below will provide an overview of the request including why FINRA is requesting this information and how your data will be used, and the second webinar will review frequently asked questions (FAQ) that are received
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In 2024, FINRA implemented streamlined and intuitive data entry process for firms’ Financial Notifications and Regulatory Notifications, which includes a new amendment function to help firms make updates and changes to forms. Join this webinar for a high-level overview of this implementation and a demonstration of the new forms.This event is open to FINRA member firms only. Participants must
At FINRA, we believe in our smart, passionate, dedicated employees—and that’s why we’re committed to fostering an inclusive workplace.Our diversity and inclusion programs not only have been successful in engaging employees, but they have also been nationally recognized. We have been named one of the Top 25 U.S. Diversity Councils, and Upward Synergy named FINRA one of the Top 10 companies for
