2022 FINRA Firm Grouping Conference Agenda
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout sessions tailored to their firm grouping.
Wednesday, November 30
3:00 p.m. – 5:30 p.m.
Registration
5:00 p.m. – 7:00 p.m.
Networking Reception
Thursday, December 1
7:30 a.m. – 4:00 p.m.
Registration
7:30 a.m. – 9:30 a.m.
Networking Breakfast
9:30 a.m. – 9:35 a.m.
Plenary I: Welcome Remarks
9:35 a.m. – 10:00 a.m.
Plenary II: Fireside Chat With FINRA President and CEO Robert Cook, Executive Vice President of Member Supervision Greg Ruppert, and Vice President of Member Relations and Education Kayte Toczylowski
10:00 a.m.– 10:15 a.m.
Break
10:15 a.m.– 11:15 a.m.
Plenary III: Ask Risk Monitoring and Examinations
During this session, FINRA Member Supervision and Market Supervision senior staff provide an update on key regulatory issues. Topics of discussion will include Reg BI/Form CRS, Remote Supervision and other key topics.
11:15 a.m.– 11:30 a.m.
Break
11:30 a.m. – 12:30 p.m.
Concurrent Sessions I
Capital Markets and Investment Banking
Advisory Engagements and Offering Due Diligence Considerations
In this session, panelists discuss issues related to advisory engagements including Insider Trading controls and due diligence (both public and private) considerations.
Diversified and Carrying & Clearing
Exception Trends Across the Firm Grouping, Including FINOP and Business Conduct
Join panelists in a discussion about exception trends across the Diversified, Carrying & Clearing firm grouping, including a discussion of FINOP and business conduct.
Retail
Navigating FinTech and Digital Assets for the Retail Investor
This session focuses on the challenges firms face helping investors navigate the FinTech and Digital Asset space.
Trading & Execution
CAT and CAIS: What You Need to Know
This session provides the opportunity to learn more about CAT reporting and preparing for the upcoming CAIS reporting deadline.
12:30 p.m. – 1:45 p.m.
Networking Lunch
1:45 p.m. – 2:45 p.m.
Concurrent Sessions II
Capital Markets and Investment Banking
Financial and Operational (FINOP) Topics
Join panelists for a discussion on topics related to firm financial and operational requirements. Topics include Revenue Recognition (ASC 606), receivables from non-broker-dealers, capital withdrawals, and firm commitment underwritings and their net capital implications.
Diversified and Carrying & Clearing
Complex Products – Due Diligence and Controls Environment
In this session, panelists discuss complex products of interest to the Diversified and Carrying & Clearing firm grouping, including discussions related to due diligence and the controls environment.
Retail
Communications With the Public: Understanding the Challenges
Panelists discuss the challenges related to communications with the public created by remote work and the rise of more retail investors utilizing electronic means of communications.
Trading & Execution
Trading and Execution Current Topics
Join panelists as they discuss hot topics related to trading and execution from a FINRA and industry perspective.
2:45 p.m. – 3:00 p.m.
Break
3:00 p.m. – 4:00 p.m.
Concurrent Sessions III
Capital Markets and Investment Banking
Common Misconceptions of Applicability
Panelists discuss common misconceptions of the applicability of SEC and FINRA rules and regulations, including, Reg BI and Form CRS, the CIP and Customer Due Diligence rules, and the AML Independent Test as related to the Capital Markets and Investment Banking firm grouping.
Diversified and Carrying & Clearing
Ask Me Anything with Diversified and Carrying & Clearing Senior Leaders
During this session, Diversified and Carrying & Clearing senior staff provide an update on key regulatory issues and answer attendees’ questions.
Retail
Complex Products - Point of Sale Considerations
In this session, panelists discuss recent enforcement cases related to complex products, with a focus on senior and at-risk investors.
Trading & Execution
Best Execution
Panelists discuss current trends and best practices related to best execution from industry and FINRA perspective.
4:00 p.m.
Conference Adjourns