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2019 North Region Member Forum Agenda

The FINRA North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North 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 20

8:00 a.m. – 3:00 p.m.


8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 9:05 a.m.

Welcome and Opening Remarks

9:05 a.m. – 10:05 a.m.

Digital Communications

FINRA and industry experts discuss the guidance provided in FINRA Regulatory Notice 17-18. Panelists address how firms have implemented effective practices, compliance considerations and developments in the use of digital technology. Panelists also discuss archiving, engaging vendors and how their firms are handling texting.

10:05 a.m. – 10:15 a.m.

Networking Break

10:15 a.m. – 11:15 a.m.

Effective Cybersecurity Practices

Join FINRA staff and industry experts as they discuss effective cybersecurity practices. Panelists discuss FINRA’s Report on Selected Cybersecurity Practices and helpful tips firms can implement to strengthen their cybersecurity programs.

11:15 a.m. – 12:15 p.m.

Networking Lunch

12:15 p.m. – 1:15 p.m.

Complex Products and Alternative Investments

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

1:15 p.m. – 1:30 p.m.

Networking Break

1:30 p.m. – 2:30 p.m.

Compliance and Legal Trends

Join FINRA staff as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists also share their thoughts on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

2:30 p.m.

Forum Adjourns