Virtual Conference Panels
Virtual conference panels provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts.
Watch the introduction video with Chip Jones, Senior Vice President of Member Relations and Education for FINRA.
Diversity and Inclusion lets us develop better ideas, respond to the needs of clients, and helps ensure that people can work at their maximum potential. During this session, Rainia L. Washington, FINRA Executive Vice President and Chief Human Resources Officer, Marcia E. Asquith FINRA Executive Vice President, Board and External Relations, and Audria Pendergrass Lee FINRA Senior Director of Inclusion and Recruitment discuss their perspectives and insights on the importance of ensuring that diversity and inclusion remain a key commitment to firms in the financial services industry.
July 27, 2020
During this session, FINRA senior staff provide an update on key regulatory issues.
July 15, 2020
This panel focuses on recent developments in the digital assets space. Join FINRA panelists and industry experts as they explain how these products and related initiatives are evolving and impacting the securities industry.
July 1, 2020
This session provides an overview of new developments and trends in enforcement, including enforcement priorities. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices.
June 24, 2020
Today, social distancing is an important component of public health. However the isolation that results has important implications for financial decision making, fraud vulnerability, and cognition among older investors. Join this panel for a discussion of emerging research on these topics and steps you can take to further protect your clients.
June 15, 2020
COVID-19 has altered the world as we know it. While some have responded to it as an incident or singular event, in the world of countering criminal threats we are seeing the need to treat it as a sustained campaign. This panel will discuss the multitude of threats across the financial crimes’ spectrum perpetrated by an aggressive yet flexible adversary. The shift in tactics needed as well as the increase in known vectors of attack in the midst this pandemic will be examined. Our panelists will dive into the trends being used by criminals as they adapt to the current events arising from the pandemic to include market fluctuations, unemployment, and relief payments. Join FINRA staff, law enforcement, and industry panelists as they provide essential controls, new tactics, and helpful tools their firms have put into place to detect, monitor, and respond to the financial crimes we are experiencing in this current environment.
June 9, 2020
Attend this session to hear about the New FINRA Gateway, that will replace the current Firm Gateway. FINRA Gateway is an enhanced reporting and compliance user experience, which will roll out over the coming months. The new system is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to each firm.
June 1, 2020
During this session, FINRA staff discuss the migration of examination by business model including the firm grouping structure, how the Risk Monitoring and Examination teams coordinate, and what firms can expect going forward.
May 26, 2020
As we navigate the challenges posed by COVID-19 and the need to halt the spread of this pandemic, many of us are settling into a routine of working from home. Cybercriminals are alert to the work from home trend and they are using this to their advantage to infiltrate our organizations. Join FINRA staff and industry panelists as they provide examples of effective controls and tools their firms have put into place to monitor and address cybersecurity risks.
May 19, 2020
Attend this session to hear from OCIE, FINRA staff and industry experts as they discuss how they intend to examine and inspect for compliance with Reg BI, including a discussion of implementation challenges, frequently asked questions, and issues that are being considered.
May 12, 2020
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.
May 6, 2020
FINRA's virtual conference panels are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the videos does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of these videos does not create a safe harbor from regulatory responsibility. These videos are provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the videos in any form, nor reference them in any publication, without the express written consent of FINRA.