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2019 South Region Member Forum Agenda

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


Thursday, March 14

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. – 9:50 a.m.

Fireside Chat With FINRA Senior Vice President and Regional Director Tom Nelli, FINRA Executive Vice President of Member Supervision Bari Havlik and FINRA Senior Vice President of Member Relations and Education Chip Jones

9:50 a.m. – 10:00 a.m.

Networking Break

10:00 a.m. – 11:00 a.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.

11:00 a.m. – 11:10 a.m.

Networking Break

11:10 a.m. – 12:10 p.m.

Hot Topics in AML

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

12:10 p.m. – 1:10 p.m.

Networking Lunch

1:10 p.m. – 1:50 p.m.

Protecting Senior Investors

Join FINRA staff and industry experts as they discuss FINRA Rules 2165 and 4512. This session focuses on red flags of financial exploitation and diminished capacity.

1:50 p.m. – 2:00 p.m.

Networking Break

2:00 p.m. – 3:00 p.m.

Branch Office Inspections

Panelists discuss practices observed in implementing an effective risk-based branch office inspection program. The panel also features a discussion around common examination findings and observations from FINRA branch exams, including red flags identified.

3:00 p.m.

Forum Adjourns