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2021 Virtual Technology Conference Agenda

FINRA Virtual Technology Conference showcases the latest technology offerings to our member firms. Technology is transforming the Financial Services industry and FINRA is dedicated to supplying our members with innovative technology designed to protect investors and ensure market integrity. Additionally, FINRA employs innovative technological solutions to carry out its mission. This one-day virtual conference is held online and focuses on technology tools for complying with FINRA rules, as well as sharing the innovative technology FINRA uses in its daily operations. The conference brings together experts, executives, and policy makers to share their specialized knowledge and experiences. The Technology Conference is designed to facilitate meaningful dialogue on a range of topics in an educational format and is designed for both compliance and technology professionals.


Wednesday, June 23

10:00 a.m. – 10:10 a.m.

Welcome Remarks: Robert Cook

10:10 a.m. – 11:00 a.m.

Moving Regulated Workloads Onto the Cloud

Steve Randich discusses implications of financial services firms moving regulated workloads and data to the cloud - including implementation strategies, security, and compliance risks and controls.

11:00 a.m. – 11:15 a.m.


11:15 a.m. – 12:00 p.m.

Fireside Chat Featuring Women in Technology (WIT)

During this session, gain insights on the culture and innovative initiatives happening at FINRA Tech that include recognition programs, diversity and inclusion efforts, the 6th Annual Createathon, AI-related work and the analytics transformation program.  

12:00 p.m. – 1:30 p.m.

Lunch and Technology Demonstrations

Booths featuring firm facing DXT, RST, APIs, Report Center/OTC compliance tools

1:30 p.m. – 2:30 p.m.

Transforming the Digital Experience of Firms

FINRA is in the middle of a wide-ranging, multi-year effort to revolutionize the digital experience that firms have when interacting with FINRA. The Digital Experience Transformation (DXT) is a transformation driven by firms for firms. The initiative is focusing on six solution areas that have been identified as priorities by FINRA member firms, including a simplified user experience and flexibility and automation when it comes to access to FINRA data. During this session, hear about upcoming changes to Firm Gateway, Reporting, and Request Manager and exciting advances in technology on FINRA Gateway’s multiyear roadmap. FINRA staff and Industry panelists share what they have learned through significant industry outreach, firms' experience as they have adopted these changes how they are saving time and money with FINRA Gateway. Be a part of the conversation of how FINRA is listening and advancing technology with you.

2:30 p.m. – 2:45 p.m.


2:45 p.m. – 3:45 p.m.

Cybersecurity Update

Join FINRA cybersecurity leaders as they discuss the current state of cybersecurity and the ever-changing threat landscape. The conversation will focus on three facets of FINRA’s cybersecurity initiatives: how FINRA secures its own systems, unique security features of the Consolidated Audit Trail (CAT) system, and how FINRA supports member firms’ cybersecurity programs.

3:45 p.m. – 4:00 p.m.


4:00 p.m. – 4:55 p.m.

Consolidated Audit Trail (CAT)

Join FINRA CAT, Exchange and Industry staff to hear an overview of technology used in the Consolidated Audit Trail.  Learn about secure connectivity, enhanced disaster recovery testing and how big data processing is managed in CAT. Also, learn about tools that help to make big data smaller and easier to understand.

4:55 p.m. – 5:00 p.m.

Closing Remarks

This agenda is subject to change.