2017 FINRA New York Region Networking Seminar Agenda

The New York Region Networking Seminar is a half-day event designed to provide financial professionals associated with FINRA member firms in the New York region the opportunity to engage in key discussions with FINRA New York Regional staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services industry. Meet one-on-one with FINRA New York Regional Coordinators and District Directors to discuss firm-specific questions.

Agenda

8:30 a.m. – 12:30 p.m.

Registration


8:30 a.m. – 10:00 a.m.

Networking Breakfast


10:00 a.m. – 10:15 a.m.

Welcome and Opening Remarks

  • Michael Solomon, FINRA Northeast Region

10:15 a.m. – 11:15 a.m.

New York Region Update With Questions and Answers

New York Regional staff discuss the regulatory environment and a range of topics affecting broker-dealers.

Panelists:

  • John Edmonds, FINRA New York District Office
  • Jeffrey Herrmann, FINRA New York District Office
  • Evelyn Kriegel, FINRA Long Island District Office
  • William St. Louis, FINRA New York and Long Island District Office

11:15 a.m. – 11:30 a.m.

Networking Break


11:30 a.m. – 12:30 p.m.

Cybersecurity: Effective Practices We See Firms Implement to Protect Confidential Data

This session provides guidance on useful practices for protecting customer information from cybersecurity related incidents. As FINRA conducts cybersecurity exams, we have seen many firms implement effective practices to address cyber risk areas such as risk assessment, governance, vendor management, access management, branch controls and many others. Panelists discuss those areas we believe firms should be considering when building/updated their plan. In addition, panelists also discuss FINRA’s own cybersecurity program and areas we consider when protecting the confidential data we hold. Whether you are just starting out or updating a well-documented approach, this session provides actionable effective practices and highlight in-depth tools to help you strengthen your cybersecurity program.

Moderator:

  • David Kelley, FINRA Kansas City District Office

Panelists:

  • Lloyd Glavocich, FINRA Member Regulation, Office of Risk Oversight and Operational Regulation
  • Gregory Markovich, FINRA Chicago District Office
  • David Yacono, FINRA Technology, Cyber & Information Security

12:30 p.m.

Seminar Adjourns


Office Hours

Meet with FINRA New York Regional Coordinators during office hours. Schedule a specific time through the conference app or by vising the app table at the seminar. You can ask specific questions, discuss topics raised during the seminar or get to know your firm's coordinator.

FINRA New York Regional Coordinators in Attendance:

Anthony Angotti, FINRA Long Island District Office 
Stephen Bucchere, FINRA New York District Office    
Jessica Cangiani, FINRA New York District Office
Anthony Carillo, FINRA New York District Office
Paul Carroll, FINRA Long Island District Office
Andrew Clipper, FINRA New York District Office
Hazel Cohen, FINRA New York District Office
Ginger Corrao, FINRA New York District Office
Tanya Crosbourne, FINRA New York District Office
Davine Davids, FINRA New York District Office
Kristin Ferrante, FINRA Long Island District Office
Marc Forte, FINRA New York District Office
Lana Idelchik, FINRA New York District Office
William Jakob, FINRA New York District Office 
Melissa Keller, FINRA New York District Office
Henry Kugaczewski, FINRA New York District Office
John Livreri, FINRA New York District Office
Yana Martova, FINRA New York District Office 
Joan McGimpsey, FINRA Long Island District Office 
Pratibha Mirchandani, FINRA New York District Office 
Ramnerys Molina, FINRA New York District Office 
Ted Palladino, FINRA New York District Office 
Joanne Pinelli, FINRA Long Island District Office
Erin Quirk, FINRA New York District Office 
Alina Rabinovich-Kalman, FINRA New York District Office 
Barry Reinkraut, FINRA New York District Office
Scott Schnatter, FINRA Long Island District Office
Raymond Sims, FINRA New York District Office
George Steers, FINRA New York District Office
Richard Tarr, FINRA New York District Office
Thomas Textor, FINRA New York District Office
Patricia Walch, FINRA New York District Office
Melissa Wong, FINRA New York District Office