2025 Small Firm Conference Agenda
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.
All times listed are Central Time.
Wednesday, October 8
1:00 p.m. – 3:30 p.m.
*Optional Workshop – Pre-registration required: Vendor Management Checklist Workshop and Loss of Critical Third-Party & Resiliency Tabletop Exercise
This session includes a workshop and a tabletop exercise (TTX) which equip small firms with practical tools and real-world scenarios to manage cyber and technology risks posed by third-party vendors. The workshop introduces a streamlined checklist that helps firms assess vendor security, contractual safeguards, data handling and service continuity.
The TTX explores the impact of a sudden outage or cyber incident at a key third-party vendor supporting critical firm operations. Small firms work through a scenario involving prolonged disruption, addressing vendor coordination, internal response, regulatory communication and business continuity planning when internal resources are limited.
3:30 p.m. – 3:45 p.m.
Break
3:45 p.m. – 5:00 p.m.
*Optional Workshop – Pre-registration required: Senior Investor Financial Exploitation Case Study
Financial exploitation of vulnerable adults is an ongoing threat. Join us for an interactive workshop that focuses on how to identify, aid and manage this threat targeting investors. This hands-on session facilitates active discussions of current elder fraud trends through a series of practical case studies. Learn from FINRA staff and work with industry practitioners to help increase investor protection.
Thursday, October 9
7:30 a.m. – 9:00 a.m.
Registration and Breakfast
9:00 a.m. – 9:30 a.m.
A Conversation With FINRA CEO and President Robert Cook and the Small Firm Advisory Chair Preston Haxo
Join FINRA President and CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo for a candid conversation on how FINRA Forward initiatives are specifically addressing small firm challenges and incorporating feedback into regulatory priorities. This discussion highlights the vital role of the Small Firm Advisory Committee in advocating for small firm interests and shares insights on the current concerns and experiences of these members.
9:30 a.m. – 9:45 a.m.
Break
9:45 a.m. – 10:30 a.m.
FINRA Rule Modernization: Shaping the Future Through Small Firm Input
This forward-looking session explores FINRA's ongoing rule modernization initiatives and provides small firms with effective strategies to contribute to the regulatory development process. Attendees gain practical insights into the comment process and learn how to effectively advocate for their unique operational considerations.
10:30 a.m. – 11:00 a.m.
Networking Break
11:00 a.m. – 11:45 a.m.
Strategic Capital Formation Pathways
Join this session to explore capital formation strategies tailored to small firms, covering Regulation D, A+, and CF offerings while evaluating public versus private capital options. The panel addresses compliance considerations under FINRA Rule 2210 and Reg BI, practical approaches to issuer due diligence, effective investor risk disclosure and provides real-world case examples of successful capital raising.
12:00 p.m. – 1:30 p.m.
Trending Topics Networking Lunch & Dessert With Exhibitors
1:30 p.m. – 2:15 p.m.
Effective Remote Supervision Strategies for Distributed Workplaces
This panel addresses supervising in the modern workplace, providing guidance on implementing the Remote Inspections Pilot Program (RIPP) and applying cost-effective technology solutions for remote supervision. Panelists demonstrate methodologies for conducting thorough virtual inspections while covering documentation effective practices and strategies for maintaining strong compliance across geographically dispersed offices and registered reps.
2:15 p.m. – 2:30 p.m.
Break
2:30 p.m. – 3:15 p.m.
Beyond the Contract: Effective Vendor Management
This session provides member firms with practical strategies for vendor due diligence and ongoing oversight. Panelists present a streamlined risk assessment framework, demonstrate how to build a right-sized vendor management program and share developments FINRA is taking to help firms in this space. Real-world case studies illustrate effective vendor oversight approaches to satisfy regulatory requirements without overwhelming limited resources.
3:15 p.m. – 3:45 p.m.
Networking Break
3:45 p.m. – 4:30 p.m.
Practical Approaches for Artificial Intelligence Implementation
This session explores how member firms can leverage generative AI while managing compliance considerations. Panelists share real-world applications, navigate regulatory adherence and evaluate solutions designed for limited budgets, providing attendees with actionable insights for technology implementation that balances innovation with risk mitigation.
4:30 p.m. – 6:00 p.m.
Reception
Friday, October 10
7:30 a.m. – 9:00 a.m.
Breakfast
9:00 a.m. – 9:45 a.m.
Strengthening Defenses Against Financial Crime Threats
Join this session to gain critical insights from regulatory, industry and law enforcement experts on combating sophisticated financial crimes through identification of the latest schemes, targeted detection strategies, optimized transaction monitoring and proven countermeasures. Discover how to fortify your firm's defenses against money laundering, fraud, and emerging criminal schemes while efficiently meeting FINRA and FinCEN requirements.
9:45 a.m. – 10:15 a.m.
Networking Break
10:15 a.m. – 11:00 a.m.
Leveraging Tools, Technology and Resources for Sustainable Compliance Operations
This practical session discusses cost-effective technology solutions and FINRA resources specifically designed to help member firms enhance operational efficiency while maintaining regulatory compliance. Attendees discover actionable technological approaches that can strengthen their firms while limiting impacts to budgets or staff capacity.
11:15 a.m. – 11:30 a.m.
Break
11:30 a.m. – 12:15 p.m.
Beyond Email: Supervising Modern Communications
This session addresses the challenges of supervising electronic communications across today's expanding digital landscape. Panelists provide practical strategies for monitoring text messages, social media, and emerging platforms and practices firms are employing to effectively supervise firm and registered rep communications.
12:15 p.m.
Conference Adjourns – Boxed Lunch Available