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.
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.
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.
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.
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.
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.