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2022 Small Firm Conference Agenda

2022 Small Firm Conference | November 9 - 10 | Santa Monica, CA

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

Wednesday, November 9

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 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

2:45 – 3:00 p.m.


3:00 p.m. – 4:00 p.m.

FINRA’s Examination, Risk Monitoring and Enforcement Update
Join FINRA staff as they review various examination and enforcement trends for small firms. During the session, panelists provide guidance on effective regulatory and compliance practices and share lessons learned from recent enforcement cases. Panelists also discuss effective controls, procedures, and processes small firms should incorporate to address supervision in the remote work environment.

4:00 p.m. – 4:15 p.m.


4:15 p.m. – 5:15 p.m.

CAT & CAIS Roadmap
During this session, FINRA staff discuss current progress and reporting obligations for the Consolidated Audit Trail (CAT), as well as effective practices and resources on the Customer & Account Information System (CAIS) for small and introducing firms.

5:30 p.m. – 7:00 p.m.

Networking Reception

Thursday, November 10

8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 10:00 a.m.

Cybersecurity Guidance
It is crucial that small financial firms take proper cybersecurity measures to protect their clients 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.

10:00 a.m. – 10:15 a.m.


10:15 a.m. – 11:15 a.m.

Regulation Best Interest and Form CRS
During this session, panelists discuss key issues regarding the SEC’s Regulation Best Interest (Reg BI) and Form CRS. Panelists provide practical advice, lessons learned, conflicts that have been identified, and examination experiences and expectations from implementing Reg BI and Form CRS.

11:15 a.m. – 11:30 a.m.


11:30 a.m. – 12:30 p.m.

Succession Planning: What to Consider
It’s never too soon to start succession planning. While many business owners may picture a gradual retirement, and exit, from their companies, sometimes life does not go as planned. A sudden event, without a succession plan in place, can be catastrophic. Join FINRA staff and industry panelists as they share effective practices and practical strategies for starting the business succession planning process.

12:30 p.m. – 1:15 p.m.

Networking Lunch With Peers, Small Firm Board of Governors, and SFAC Members

1:15 p.m. – 1:45 p.m.

Dessert With Exhibitors

1:45 p.m. – 2:45 p.m.

Getting a Handle on Cryptocurrencies and Other Digital Assets
Join FINRA staff and industry experts as they discuss the rapidly evolving developments in the areas of digital assets. Panelists address related market and regulatory challenges, as well as Outside Business Activities (OBA) and Private Securities Transaction (PST) rules small firms should consider when seeking to become involved in this space.

2:45 p.m. – 3:00 p.m.


3:00 p.m. – 4:00 p.m.

Content Based Networking
During this time, attendees have the opportunity to meet and discuss the specific session topics with the session panelists and other conference attendees. The content-based networking rooms will be less structured than the conference session which will allow attendees to participate in the conversation instead of listening. Discussion rooms are designed as a low-pressure format, to assist attendees with conversations and networking. Attendees should navigate to the room where the content is related to their interest. Please note: The content-based networking topics will be offered concurrently and will not be recorded.

Topics include:
CAT/CAIS, Cybersecurity, Examination, Risk Monitoring and Enforcement Program, and Regulation Best Interest

4:00 p.m.

Conference Adjourns