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2019 FINRA Small Firm Conference Agenda


Wednesday, October 23

12:00 p.m. – 5:30 p.m.


2:00 p.m. – 2:05 p.m.

Welcome Remarks

2:05 p.m. – 2:45 p.m.

Fireside Chat Featuring FINRA President and CEO Robert Cook, Executive Vice President of Member Supervision Bari Havlik and Senior Vice President of Member Relations and Education Chip Jones

2:45 p.m. – 3:00 p.m.

Networking Break

3:00 p.m. – 4:00 p.m.

Regulation Best Interest

Panelists discuss key issues regarding the SEC’s Regulation Best Interest Rule. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to prepare for the SEC’s Regulation Best Interest Rule.

4:00 p.m. – 4:15 p.m.

Networking Break

4:15 p.m. – 5:15 p.m.

Transformation of FINRA’s Examination and Risk Monitoring Program

During this session, FINRA staff will discuss the new firm grouping structure, the status of changes and what small firms can expect going forward.

5:30 p.m. – 7:00 p.m.

Networking Reception


Thursday, October 24

8:00 a.m. – 4:00 p.m.


8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 10:00 a.m.

Cybersecurity Guidance for Small Firms

It is crucial that small financial firms take proper cybersecurity measures to protect their customers and their firm. During this session, panelists provide risk-based, threat-informed effective practices applicable to small firms and supportive of their overall business model to increase their security and ensure the protection of their customers.

10:00 a.m. – 10:15 a.m.

Networking Break

10:15 a.m. – 11:15 a.m.

Common Examination Findings

Join FINRA staff as they discuss FINRA’s examination process and most common deficiencies identified during cycle examinations of small firms. Industry practitioners present effective practices for preparing for examinations, taking corrective action and updating compliance procedures, and practices based on lessons learned from common examination findings.

11:15 a.m. – 11:30 a.m.

Networking Break

11:30 a.m. – 12:30 p.m.

AML Challenges and Effective Practices

During this session, FINRA staff and industry practitioners discuss common challenges small firms face in establishing and implementing AML compliance programs, as well as practical solutions to these challenges that FINRA staff and industry professionals have developed and observed.

12:30 p.m. – 1:15 p.m.

Networking Lunch

1:15 p.m. – 1:45 p.m.

Dessert With Exhibitors

1:45 p.m. – 2:45 p.m.

Managing Third-Party Compliance Vendors: Tips and Effective Practices

Establishing a strong third-party risk management program is an important step in mitigating risks. During this session, panelists discuss tips on performing an effective due diligence review and provide advice on evaluating services.

2:45 p.m. – 3:00 p.m.

Networking Break

3:00 p.m. – 4:00 p.m.

How Small Firms Can Effectively Keep Up to Date with New Regulatory Obligations

Join FINRA staff and industry practitioners as they discuss how they track, analyze and implement policies to comply with new rules. Panelists provide practical tips for keeping Written Supervisory Procedures (WSPs) up to date, training staff and testing new procedures.

4:00 p.m.

Conference Adjourns

This agenda is subject to change.