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FINRA Midwest Region Member Forum Agenda

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The FINRA Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities to meet one-on-one with FINRA district staff to discuss firm-specific questions.

Agenda

Thursday, October 3

8:00 a.m. – 3:00 p.m.

Registration


8:00 a.m. – 9:00 a.m.

Networking Breakfast


9:00 a.m. – 9:05 a.m.

Welcome and Opening Remark


9:05 a.m. – 9:35 a.m.

Regulation Best Interest Fireside Chat With FINRA Vice President and Associate General Counsel Jim Wrona and Senior Director of Member Relations and Education John Veator


9:35 a.m. – 9:50 a.m.

Networking Break


9:50 a.m. – 10:50 a.m.

Transformation of FINRA’s Examination and Risk Monitoring Program

Join FINRA staff to hear more about our new exam program transformation.


10:50 a.m. – 11:00 a.m.

Networking Break


11:00 a.m. – 11:50 a.m.

Identifying and Assessing High-Risk Activity

Join FINRA staff and industry panelists as they share helpful insight on identifying and assessing activity of registered representatives as high-risk and how that intelligence can be more broadly used to assess risk across and within branch offices.


11:50 a.m. – 1:00 p.m.

Networking Lunch


1:00 p.m. – 1:50 p.m.

Branch Office Inspections: Implementing a Risk-Based Program and Identifying Red Flags

Panelists discuss practices observed in implementing effective risk-based branch office inspection programs. The panel also features a discussion around common findings and observations from FINRA branch exams, including examples of strong controls and red flags identified.


1:50 p.m. – 2:00 p.m.

Networking Break


2:00 p.m. – 3:00 p.m.

Ask FINRA Senior Staff

FINRA senior leaders discuss the regulatory environment and a range of topics affecting broker-dealers.


3:00 p.m.

Forum Adjourns


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