South Region Member Forum Agenda

Join FINRA and industry leaders for a complimentary half-day event designed for South Region member firms. This interactive gathering brings together compliance professionals and firm leaders to engage in dynamic discussions on current regulatory issues, discover effective practices from peers, and connect directly with FINRA staff and Regional Committee members*.

*Members from FINRA’s South and West Regional Committees will be in attendance

All times listed are Eastern Time.

12:00 p.m. – 1:00 p.m.

Registration

1:00 p.m. – 1:05 p.m.

Welcome Remarks

1:05 p.m. – 2:00 p.m.

Protecting Investors, Empowering Firms: FINRA's Evolved Structure and Emerging Regulatory Priorities

FINRA's mission is protecting investors and market integrity—and that mission is most effective when firms have clarity on regulatory priorities, the tools to operate efficiently and direct access to FINRA leadership. This session brings Regulatory Operations leaders to the table to discuss how our newly integrated oversight organization and FINRA Forward initiatives modernize firm-FINRA partnerships, share insights on emerging regulatory trends and examination priorities, and answer your most pressing questions about what FINRA is seeing in the field and what it means for your compliance strategy.

2:00 p.m. – 2:15 p.m.

Break

2:15 p.m. – 3:00 p.m.

Governing Generative Artificial Intelligence: Building Comprehensive Frameworks

Generative Artificial Intelligence (AI) is reshaping financial services, but successful deployment requires governance. This session examines how member firms are deploying AI today and provides practical guidance on building governance frameworks for responsible implementation. Learn how FINRA's existing rules—including supervision, communications and recordkeeping—are considered when firms use AI tools, and discover risk management strategies and operational effective practices that allow you to harness AI's potential while protecting your firm, clients and market integrity.

3:00 p.m. – 3:15 p.m.

Break

3:15 p.m. – 4:00 p.m.

Peer Perspectives on Compliance and Regulatory Partnership (and Closing Remarks)

Join South and West Regional Committee members for a candid, peer-to-peer conversation about compliance priorities, effective practices and how firms are partnering with FINRA to drive success. This session emphasizes real-world strategies, collaborative problem-solving and direct insights from industry leaders facing similar challenges. Also hear how FINRA is evolving its approach to member support—enhancing communication channels, streamlining processes and strengthening partnerships to help your firm succeed.

4:00 p.m. – 5:30 p.m.

Networking Reception

Connect with compliance peers, FINRA staff and Regional Committee members in a relaxed setting to continue conversations, share insights and expand your regulatory network.