2019 West Region Member Forum Agenda

2019 West Region Networking Seminar

The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-one with FINRA Regulatory Coordinators, and Surveillance and District Directors to discuss firm-specific questions.

Wednesday, March 6

8:00 a.m. – 3:00 p.m.

Registration


8:00 a.m. – 9:00 a.m.

Networking Breakfast


9:00 a.m. – 9:05 a.m.

Welcome and Opening Remarks

Speaker: Lance Burkett, FINRA Denver District Office


9:05 a.m. – 9:50 a.m.

Fireside Chat With FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones


9:50 a.m. – 10:00 a.m.

Networking Break


10:00 a.m. – 10:50 a.m.

Complex Products and Alternative Investments

Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effective due diligence, training, supervision and surveillance to minimize risks.

Moderator: David Greene, FINRA Los Angeles District Office

Panelists:

  • Sean Abbey, FINRA Denver District Office
  • Robert (Rob) Molinari, Commonwealth Financial Network

10:50 a.m. – 11:00 a.m.

Networking Break


11:00 a.m. – 11:50 a.m.

High-Risk Activities

During this session, FINRA staff and industry panelists share helpful insight on identifying and assessing high-risk activity of registered representatives and how that intelligence can be more broadly used to assess risk across member firms and within branch offices.  

Moderator: Lance Burkett, FINRA Denver District Office

Panelists:

  • Jodee Brubaker-Rager, Geneos Wealth Management, Inc.
  • Gerald (Jerry) Dougherty, FINRA Denver District Office
  • Harry Striplin, Umpqua Investments, Inc.

11:50 a.m. – 12:50 p.m.

Networking Lunch


12:50 p.m. – 1:50 p.m.

Industry Views on the Current State and Future of RegTech

During this session, FINRA staff and industry practitioners share their views on how RegTech can benefit firms and the industry, but may also pose new challenges. Panelists discuss their approach to investing in RegTech and other emerging technologies, and consider how these tools influence the financial services industry.

Moderator: Thomas (Tom) Mellett, FINRA San Francisco District Office

Panelists:

  • Brad Ahrens, Charles Schwab & Co., Inc.
  • Mark Howells, M.S. Howells & Co.
  • Haimera (Haime) Workie, FINRA Emerging Regulatory Issues

1:50 p.m. – 2:00 p.m.

Networking Break


2:00 p.m. – 3:00 p.m.

Ask FINRA Senior Staff

FINRA senior leaders discuss the regulatory environment and a range of topics affecting broker-dealers.

Moderator: Donald (Don) Lopezi, FINRA West Region

Panelists:

  • Lance Burkett, FINRA Denver District Office
  • David Greene, FINRA Los Angeles District Office
  • Thomas (Tom) Mellett, FINRA San Francisco District Office

3:00 p.m.

Forum Adjourns