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.

Technology Support for Trading Platforms Tabletop Exercise (ATS, Data Rooms, High Frequency/Algo’s)

This tabletop exercise challenges firms to respond to a cyberattack targeting trading infrastructure. It examines incident response coordination, contingency planning, and communication protocols necessary to sustain trading operations and preserve market integrity under technology failure or compromise. Participants gain practical strategies to strengthen their cybersecurity posture, enhance their incident response capabilities and develop more robust business continuity plans specifically tailored to trading platform vulnerabilities.