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2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours

FINRA’s Virtual Artificial Intelligence (AI) Conference and FinTech Office Hours are scheduled to occur on November 9 and November 10, respectively. The Virtual AI Conference is a half day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges.

The FinTech Office Hours will be hosted by FINRA’s Office of Financial Innovation (OFI) and is designed to engage with broker-dealers, vendors, and other market participants seeking to bring forth FinTech innovations. The event provides a platform for discussions on market and regulatory implications and related benefits and challenges associated with innovations occurring in the financial industry.


Monday, November 9 – Live Sessions


12:30 p.m. – 12:40 p.m. EST

Welcome Remarks – Robert Cook

12:40 p.m. – 1:30 p.m. EST 

Industry Views on the Current and Future State of Artificial Intelligence (AI) 

This session focuses on the current and future AI applications being explored by the securities industry (considering benefits, challenges and opportunities) and the address related issues and comments on the FINRA AI Whitepaper.

1:30 p.m. – 1:40 p.m. EST

Networking Break

1:40 p.m. – 2:30 p.m. EST

Incorporating AI into Market Surveillance 

This session will explore the ways in which AI is being used to facilitate market surveillance and address the potential benefits for market integrity as well as discuss the challenges associated with the use of AI.

2:30 p.m. – 2:45 p.m. EST

Networking Break

2:40 p.m. – 3:30 p.m. EST

Regulators Forum on Artificial Intelligence (AI) 

During this session, panelists discuss the work that regulators have undertaken to assess the use of AI in the financial industry and the regulatory considerations associated with potential AI applications.

3:30 p.m. – 3:45 p.m. EST 

Closing Remarks – Haimera (Haime) Workie

This agenda is subject to change.