2020 North Region Member Forum Agenda
The FINRA North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North 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 Risk Monitoring Analysts and Directors to discuss firm-specific questions.
Wednesday, February 12
8:00 a.m. – 3:00 p.m.
8:00 a.m. – 9:00 a.m.
9:00 a.m. – 9:05 a.m.
Welcome and Opening Remarks
9:05 a.m. – 9:45 a.m.
Fireside Chat With FINRA President and CEO Robert Cook and Senior Director of Member Relations and Education Patricia Albrecht
9:45 a.m. – 10:00 a.m.
10:00 a.m. – 11:00 a.m.
Transformation of FINRA’s Examination and Risk Monitoring Program
During this session, FINRA staff will discuss the new firm grouping structure, the status of changes and what firms can expect going forward.
11:00 a.m. – 11:15 a.m.
11:15 a.m. – 12:15 p.m.
FINRA Examination Findings and Priorities
Panelists discuss the examination findings and priorities letter. FINRA staff will review effective practices and considerations worth highlighting due to their potential impact on investors and markets or the frequency with which they occur.
12:15 p.m. – 1:30 p.m.
1:30 p.m. – 3:00 p.m.
Regulation Best Interest and Form CRS: What You Need to Know
Join panelists as they discuss Regulation Best Interest and Form CRS, its impact on the industry and effective practices to help broker-dealers manage their obligations.
North Region Member Forum Adjourns
This agenda is subject to change.