2025 FINRA Annual Conference Agenda
Agenda
*This agenda is subject to change.
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 – A Conversation With House Financial Services Committee Chairman French Hill and Former FINRA Chairman Jack Brennan
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:
Financial Crimes: Getting Ahead of the Adversaries
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:
Cybersecurity: Trends and Building Strong Programs
How to Use Data to Drive Effective Oversight
Capital Formation Developments
5:00 p.m. – 6:15 p.m.
Networking Reception
Thursday, May 15
7:30 a.m. – 12:55 p.m.
Registration & Information
7:30 a.m. – 9:00 a.m.
Breakfast
9:00 a.m. – 9:45 a.m.
Plenary Session – The Vital Role of Member Engagement for the Self-Regulatory Organization
9:45 a.m. – 10:00 a.m.
Break
10:00 a.m. – 11:00 a.m.
Plenary Session – Compliance & Legal Trends
11:00 a.m. – 11:15 a.m.
Break
11:15 a.m. – 12:15 p.m.
Plenary Session – Ask FINRA Senior Leaders
12:15 p.m.
Conference Adjourns