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2020 FINRA Small Firm Virtual Conference Agenda

This one-day conference will be held online and focus on effective practices and tips for complying with FINRA rules — from the unique perspective of small firms. The conference will bring together experts, executives and policy makers to share their specialized knowledge and experiences. The Small Firm Virtual Conference is a hybrid of live and recorded session and it is designed to facilitate meaningful dialogue on a range of topics in an educational format. During the event, attendees can meet one-on-one with FINRA staff during office hours.


Wednesday, October 28


8:30 a.m. – 8:45 a.m. EDT

Live Session I
Welcome Remarks: Kayte Toczylowski

8:45 a.m. – 9:30 a.m. EDT

Live Session II
Regulation Best Interest and Form CRS

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.

9:30 a.m. – 9:45 a.m. EDT


9:45 a.m. – 10:30 a.m. EDT

Pre-Recorded Session I
Guidance on Advertising and Other Communications with the Public During COVID-19

During the COVID-19 pandemic, how can firms communicate relevant, meaningful and compliant information with their clients? Attend this session to hear how industry and regulatory experts are dealing with these challenges. The panel covers recent FINRA guidance as well as frequently asked questions related to the coronavirus pandemic and communications with the public.

10:30 a.m. – 12:30 p.m. EDT

Networking Break with Exhibitors and Office Hour Appointments

12:30 p.m. – 1:00 p.m. EDT

Live Session III
Fireside Chat Featuring FINRA President and CEO Robert Cook, Executive Vice President of Member Supervision Bari Havlik and Vice President and Deputy of Member Relations and Education Kayte Toczylowski

During this session, FINRA staff share their perspectives on the current state of the industry and look ahead to what the future may hold.

1:00 p.m. – 1:15 p.m. EDT


1:15 p.m. – 2:00 p.m. EDT

Pre-Recorded Session II
Common Examination Findings

Join FINRA staff as they discuss common deficiencies noted during a FINRA small firm examination. Industry practitioners will discuss effective practices for preparing for examinations, taking corrective action and updating compliance procedures and practices based on lessons learned from common examination findings.

2:00 p.m. – 3:15 p.m. EDT

Networking Break with Exhibitors and Office Hour Appointments

3:15 p.m. – 4:00 p.m. EDT

Live Session IV
Ask FINRA Senior Staff

During this session, FINRA senior staff provide an update on key regulatory issues. Panelists address questions relating to FINRA's risk-based examination program, disciplinary actions, market regulation programs, and new and anticipated rules, among other things.

4:00 p.m. EDT

Live Session V
Closing Remarks/Conference Adjourns: Kayte Toczylowski

This agenda is subject to change.