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2019 FINRA District Compliance Seminar With the State of Pennsylvania Agenda


FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices.


Wednesday, October 16

12:00 p.m. – 5:00 p.m.


1:00 p.m. – 1:05 p.m.

Welcome and Opening Remarks

1:05 p.m. – 2:00 p.m.

Common Examination Findings and Effective Practices

Join panelists as they discuss the most common deficiencies noted during cycle examinations. Industry practitioners discuss effective practices for preparing for examinations, taking corrective action, and updating compliance procedures and practices based on examination results.

2:00 p.m. – 2:10 p.m.

Networking Break

2:10 p.m. – 3:00 p.m.

Protecting Senior Investors

Join panelists as they discuss FINRA and Pennsylvania requirements and resources relating to protecting senior investors.  Panelists also address how firms and regulators handle situations involving potential senior exploitation and diminished capacity.

3:00 p.m. – 3:10 p.m.

Networking Break

3:10 p.m. – 4:00 p.m.

Hot Topics in AML

Join regulatory staff and industry experts as they discuss changes impacting the anti-money laundering (AML) and financial crime environment. Panelists discuss new areas of focus and effective practices.

4:00 p.m. – 4:10 p.m.

Networking Break

4:10 p.m. – 5:00 p.m.

Ask FINRA, State of Pennsylvania and North American Securities Administrators Association (NASAA) Senior Staff

Panelists discuss the regulatory environment and a range of topics affecting broker-dealers.

5:00 p.m. – 6:00 p.m.

Networking Reception