2019 FINRA Annual Conference
FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.
FINRA's 2019 Annual Conference took place in Washington, DC, May 15 – 17. The conference was designed to help participants—both seasoned compliance veterans and those new to the industry—navigate toward a strong culture of compliance. With more than 60 sessions, over 1,550 participants learned about the latest regulatory developments and FINRA priorities, and gained practical guidance on today’s top compliance issues and how to maintain an effective compliance framework.
Recordings of sessions are available to FINRA member firms and CRCP® graduates. View the recorded sessions from the May 15 – 17, 2019, FINRA Annual Conference, and receive access to all conference materials. View the conference brochure below for a list of recorded sessions and their descriptions.
Registration is now open for the 2020 Annual Conference in Washington, DC, on May 12 – 14. Reduced rates are available for the first 100 in-person registrants before 10/4/2019.
Missed the live stream? Watch the replay now from the fireside chat with FINRA's Robert Cook, Bari Havlik and Chip Jones.
Robert W. Cook, FINRA
Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division’s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on over 2,000 rule filings and new product listings each year from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing more than 30 major rulemaking actions and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff’s review of equity market structure. Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC, office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters. Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.
Chris Gardner, Author of The Pursuit of Happyness
Chris Gardner is an international motivational speaker, Entrepreneur, Best Selling Author, and single parent. Gardner’s autobiography, the Pursuit of Happyness, became a New York Times #1 best seller, and has been translated into over forty languages. Gardner is also the inspiration for the critically acclaimed movie, “The Pursuit of Happyness” for which Will Smith, starring as Gardner received a Golden Globe, Screen Actors Guild and Academy Award nominations for his performance. Gardner’s second best book, also a best seller, “Start Where You Are,” was published in 2009 and is currently working on his third book “Spiritual Genetics and the New Universal Dream” Gardner has recently produced his first film, a documentary entitled Maya Angelou- And Still I Rise. Mr. Gardner considered Mrs. Angelou a very good friend and mentor. Mr. Gardner has “re-enlisted” in the US Military and works closely with the U.S. Veterans Administration to end homelessness amongst veterans! Mr. Gardner is a major supporter of food banks and pantries across the US. Chris Gardner’s aim, through his speaking engagements and media projects is to help others achieve their full potential.
Bari Havlik, Executive Vice President, Member Supervision, FINRA
Bari Havlik is Executive Vice President for Member Supervision. In this capacity, Ms. Havlik leads FINRA's Member Regulation program, which includes surveillance and examination programs for member firms.
Previously, Ms. Havlik was a Senior Vice President and Chief Compliance Officer for The Charles Schwab Corporation. She began her career in financial services in 1982, and has worked for discount brokerage, full service retail and institutional securities firms, as well as bank-affiliated broker-dealers.
Ms. Havlik received her undergraduate degree from DePaul University. She serves on the board of Creativity Explored, a non-profit that gives artists with developmental disabilities the means to create and share their work with the community, celebrating the power of art to change lives. Before relocating to New York, she also served on the board of GirlVentures, a non-profit that inspires girls to lead through outdoor adventure, inner discovery and collective action.
Chip Jones, Senior Vice President, Member Relations and Education
In this capacity, he is responsible for maintaining and enhancing open and effective dialogue with FINRA member firms. Mr. Jones also oversees FINRA’s Member Education department, which includes FINRA conferences and the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP)® program.
Prior to joining FINRA, Mr. Jones was Vice President of Regulatory and Industry Affairs at American Express Financial Advisors (AEFA). Before joining AEFA, he served as Advocacy Administrator for the Association for Investment Management and Research (now the CFA Institute). Early in his career, he was a senior examiner/investigator with the Virginia Securities Division.
He received a master’s degree in business administration and a bachelor’s degree from Radford University in Radford, Virginia.