FINRA Midwest Region Member Forum Agenda

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

Agenda – Thursday, April 26

9:00 a.m. – 3:00 p.m.

Registration


9:00 a.m. – 10:00 a.m.

Networking Breakfast


10:00 a.m. – 10:15 a.m.

Welcome and Opening Remarks

  • Ed Wegener, FINRA Midwest Region

10:15 a.m. – 11:15 a.m.

Session I: Product Vetting and Supervisory Systems and Controls

As the number and complexity of products available to investors continue to increase, FINRA continues to assess the adequacy of firms’ controls to meet their obligations to ensure the proper sale of such products. Panelists discuss FINRA’s reviews of how firms conduct new product vetting, the vetting process itself, and the supervisory systems and controls firms put in place to ensure personnel are appropriately educated and trained on the sale and supervision of new products.

Moderator: Scott DeArmey, FINRA Kansas City District Office

Panelists:

  • Mark Lasswell, Securities America, Inc.
  • Stephen Mack, Mack Investment Securities
  • Shawn O’Neill, FINRA Chicago District Office

11:15 a.m. – 12:30 p.m.

Networking Lunch


12:30 p.m. – 1:45 p.m.

Session II: FINRA Examination Findings Report

Panelists discuss the Report on FINRA Examination Findings. They review effective practices and considerations worth highlighting due to their potential impact on investors and markets or the frequency with which they occur.

Moderator: Laura Trotz, FINRA Chicago District Office

Panelists:

  • Bryan Miller, FINRA Chicago District Office
  • Amy Shelton, American Century Investment, Inc.
  • Jeffrey Williams, Northwestern Mutual Investment Services

1:45 a.m. – 2:00 p.m.

Networking Break


2:00 p.m. – 3:00 p.m.

Session III: Ask FINRA Senior Staff

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

Moderator: Chip Jones, FINRA Member Relations and Education

Panelists:

  • Scott DeArmey, FINRA Kansas City District Office
  • Laura Trotz, FINRA Chicago District Office
  • Ed Wegener, FINRA Midwest Region

3:00 p.m.

Seminar Adjourns