Compliance Workshops

Elevate your firm's preparedness with FINRA's hands-on workshops where you'll discuss essential topics, develop robust plans alongside industry peers, and receive actionable tips directly from FINRA staff and peers, or participate in our dynamic tabletop exercises to test your strategies through realistic scenarios with expert guidance. Register today for these limited-seat opportunities.

Cybersecurity: 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.

Senior Investor Financial Exploitation Case Study Workshop

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.

Cybersecurity: Data Breach and Privacy Impact Response Workshop and Ransomware and Crypto Payment Tabletop Exercise

This session includes a workshop and a tabletop exercise (TTX) that walks through the cyber response process following a breach of customer data. Workshop topics include breach containment, privacy impact assessments, notification obligations, and coordination with legal counsel, regulators and affected clients in the context of Regulation S-P and related standards.

The TTX explores a ransomware demand requesting payment in cryptocurrency scenario where participants explore decision-making related to payment options, external notifications, wallet tracking, recovery planning and compliance with legal and regulatory constraints in extortion-driven incidents.

Elder Cyber Fraud Case Study Workshop

Cyber fraud schemes targeting elder investors are growing more frequent and sophisticated. Join this interactive workshop to gain essential tools to recognize, prevent and counter these increasingly sophisticated cyber fraud schemes. Through practical case studies and collaborative discussions with industry peers, you'll develop actionable strategies to protect vulnerable investors from today's most prevalent threats.