Skip to main content

2025 FINRA Annual Conference Agenda

 

Monday, May 12 - Pre-Conference


2:00 p.m. – 4:30 p.m.

Cyber Tabletop Exercise (pre-registration required)


5:00 p.m. – 6:30 p.m.

New Attendee Reception (pre-registration required)


5:00 p.m. – 7:00 p.m.

Registration & Information

 

Tuesday, May 13


7:30 a.m. – 6:00 p.m.

Registration & Information


8:00 a.m. – 9:30 a.m.

Senior Investor Financial Exploitation Case Study Workshop (pre-registration required)


8:30 a.m. – 10:00 a.m.

Breakfast


10:00 a.m. – 5:00 p.m.

FINRA IDEA Booths


10:00 a.m. – 10:30 a.m.

Plenary Session – Welcome Remarks and a Conversation With FINRA CEO and President Robert Cook


10:30 a.m. – 11:30 a.m.

Plenary Session – Fighting Fraud: A Paradigm Shift


11:30 a.m. – 12:00 p.m.

Networking Break


12:00 p.m. – 12:50 p.m.

Breakout Sessions:

A View Into FINRA’s Member Supervision Programs

Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements

Keeping Credentials Current: The Ins and Outs of Continuing Education


12:50 p.m. – 1:40 p.m.

New Attendee Luncheon (pre-registration required)
Firm Grouping Networking and General Lunch


1:40 p.m. – 2:15 p.m.

Dessert With Exhibitors


2:15 p.m. – 3:05 p.m.

Breakout Sessions:

Communication Supervision Trends and Effective Practices

Keeping Current With Fixed Income Securities

The Rise of Self-Directed Investors: Investing Trends and Compliance Risks


3:05 p.m. – 3:30 p.m.

Networking Break


3:30 p.m. – 4:15 p.m.

Breakout Sessions:

A View Into FINRA’s Enforcement Program

Strengthening Your Vendor Risk Management Programs

Market Structure Regulatory Developments


4:15 p.m. – 4:30 p.m.

Break


4:30 p.m. – 5:00 p.m.

Plenary Session – Congressional Perspectives with Rep. French Hill, Chairman of the House Financial Services Committee


7:30 p.m. – 9:30 p.m.

Opening Night Reception

 

Wednesday, May 14


6:15 a.m. – 7:15 a.m.

FINRA 5K (pre-registration required)


7:30 a.m. – 6:00 p.m.

Registration & Information


7:30 a.m. – 8:45 a.m.

Breakfast


8:45 a.m. – 10:00 a.m.

Plenary Session – Artificial Intelligence: Opportunities and Use by Member Firms


10:00 a.m. – 6:15 p.m.

FINRA IDEA Booths


10:00 a.m. – 10:15 a.m.

Break


10:15 a.m. – 10:45 a.m.

Plenary Session – A Conversation With Scott Curtis, Chair, FINRA Board of Governors


10:45 a.m. – 11:15 a.m.

Networking Break


11:15 a.m. – 12:15 p.m.

Breakout Sessions:

Effective Practices in Remote Supervision and Inspections

Insights Into Trade Surveillance Reporting Obligations and Risk Detection

Financial Management Regulatory Developments


12:15 p.m. – 1:15 p.m.

Lunch With the Regional Committees (pre-registration required)
Trending Topics Networking and General Lunch


1:15 p.m. – 1:45 p.m.

Desserts With Exhibitors


1:45 p.m. – 2:30 p.m.

Breakout Sessions:

Strengthening Compliance of Regulation Best Interest and Form CRS

A View Into FINRA’s Market Regulation and Transparency Services Program

Foundations of Building Strong Business Continuity Plans


2:30 p.m. – 2:45 p.m.

Break


2:45 p.m. – 3:45 p.m.

Breakout Sessions:

Cybersecurity: Trends and Building Strong Programs

Mitigating Impacts of Fraud and Scams Targeting Customers

Complex Products: New Developments and Compliance Considerations for Retail Firms


3:45 p.m. – 4:00 p.m.

Break


4:00 p.m. – 5:00 p.m.

Breakout Sessions:

Financial Crimes: Getting Ahead of the Adversaries

How to Use Data to Drive Effective Oversight

Capital Formation Developments


5:00 p.m. – 6:15 p.m.

Exhibitor Reception

 

Thursday, May 15


7:30 a.m. – 11:45 a.m.

Registration & Information


7:30 a.m. – 9:00 a.m.

Breakfast


9:00 a.m. – 9:30 a.m.

Plenary Session – TBD


9:30 a.m. – 9:45 a.m.

Break


9:30 a.m. – 10:30 a.m.

Plenary Session – Compliance & Legal Trends


10:30 a.m. – 10:45 a.m.

Break


10:45 a.m. – 11:45 a.m.

Plenary Session – Ask FINRA Senior Leaders