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West Region Member Forum Agenda

West Region Member Forum | March 26, 2020 | San Francisco, CA

The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West 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, March 26

8:00 a.m. – 3:00 p.m.


8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 9:05 a.m.

Welcome and Opening Remarks

9:05 a.m. – 9:45 a.m.

Transformation of FINRA’s Examination and Risk Monitoring Program

During this session, FINRA staff discuss the new firm grouping structure, the status of changes and what firms can expect going forward.

9:45 a.m. – 10:00 a.m.

Networking Break

10:00 a.m. – 11:00 a.m.

Steps to Take Now to be Ready if Your Organization is Breached 

Cyber threats are no longer a question of if, but when, a breach will occur. It is important to have a cybersecurity plan in place so you are ready to act if your organization experiences a data breach. Join panelists as they share effective steps organizations can take to prepare for an attack.

11:00 a.m. – 11:15 a.m.

Networking Break

11:15 a.m. – 12:15 p.m.

FINRA Examination Findings and Priorities 

Panelists discuss the examination findings and priorities letters. FINRA staff reviews 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.

Networking Lunch

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.

3:00 p.m.

West Region Member Forum Adjourns 

This agenda is subject to change.