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2023 Small Firm Conference Agenda

2023 FINRA Small Firm Conference

Wednesday, October 25

11:00 a.m. – 1:00 p.m.

Registration & Information

1:00 p.m. – 1:30 p.m.

Fireside Chat With FINRA Senior Leaders
Join FINRA senior leaders as they share thoughts on the current state of the financial industry landscape, key regulatory developments and impacts to the small firm community.

1:30 p.m. – 2:15 p.m.

Tips for Identifying and Mitigating Fraud in Financial Accounts
Join FINRA and firm industry experts as they discuss the newest and most prevalent financial crimes threats, provide best practices for working with victims, and propose actionable mitigation strategies that firms can implement to bolster customer protection efforts.

2:15 p.m. – 2:45 p.m.

Networking Break

2:45 p.m. – 3:30 p.m.

An Update on Continuing Education Transformation and Supporting Systems
Hear the latest from FINRA and industry practitioners on the CE Transformation Initiative. Panelists discuss recent changes to the Regulatory and Firm Elements, provide an update on the Maintaining Qualifications Program and highlight system tools (e.g., FINRA Gateway, Dynamic Reporting, FinPro), resources and best practices that member firms can incorporate into their processes.

3:30 p.m. – 3:45 p.m.


3:45 p.m. – 4:30 p.m.

Regulation Best Interest and Form CRS Developments and Practices
During this session, panelists discuss the latest developments with the SEC’s Regulation Best Interest (Reg BI) and Form CRS rules, recent findings, interpretive guidance and actionable tips that small firms can implement to comply.

4:45 p.m. – 6:30 p.m.



Thursday, October 26

8:00 a.m. – 9:00 a.m.


9:00 a.m. – 9:45 a.m.

The Future of Remote Inspections and Hybrid Work
Hear from panelists as they share their thoughts on modernizing firms' inspection approach and firm panelists provide actionable and practical tools for performing and documenting branch office inspections.

9:45 a.m. – 10:00 a.m.


10:00 a.m. – 10:45 a.m.

Firm Perspectives on Supervising Off-Channel Communications
Join this session to learn about the latest developments in off-channel communications. Industry and FINRA experts share insights into red flags to consider in detecting the use of unapproved communications channels, practical tips for building stronger supervision programs and suggestions for educating associated persons on firm policies and procedures. The panelists will also discuss recent SEC and FINRA initiatives in this dynamic area.

10:45 a.m. – 11:00 a.m.


11:00 a.m. – 11:45 a.m.

Effective Practices for Responding to New Rules, FINRA Priorities and Emerging Firm Risks
Learn from FINRA staff and industry practitioners as they share effective practices, strategies and success stories for small firms to consider when assessing and building action plans in response to regulatory changes, the information included in the FINRA Report on Examination and Risk Monitoring and emerging risks to firms success such as succession planning.

11:45 a.m. – 1:15 p.m.

Networking lunch

1:15 p.m. – 2:00 p.m.

Ask the Small Firm Advisory Committee
During this session, members from FINRA’s Small Firm Advisory Committee address top concerns and questions from the small firm community and share their perspectives on the most critical compliance topics.

2:00 p.m. – 2:15 p.m.


2:15 p.m. – 3:00 p.m.

Cybersecurity Landscape and Best Practices
Hear from experts about the latest developments in cybersecurity threats, FINRA's efforts to support member firms in staying apprised of the threats and measures small firms can take to build strong cybersecurity programs.

3:00 p.m.

Conference Adjourns