2018 FINRA New York Region Member Forum Agenda

The New York Region Member Forum is a half-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA New York Regional staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and features presentations by regulators and industry professionals.


8:00 a.m. – 12:30 p.m.


8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 9:05 a.m.

Welcome and Opening Remarks

  • Michael Solomon, FINRA Northeast Region

9:05 a.m. – 9:45 a.m.

Fireside Chat with FINRA President and CEO Robert Cook and Senior Vice President and Senior Regional Director Michael Solomon


  • Michael Solomon, FINRA Northeast Region


  • Robert Cook, FINRA

9:45 a.m. – 9:55 a.m.

Networking Break

9:55 a.m. – 10:40 a.m.

Enforcement Initiatives, Developments and Priorities

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.


  • Christopher (Chris) Kelly, FINRA Enforcement


  • Lisa Colone, FINRA Enforcement
  • Kay Lackey, FINRA Enforcement

10:40 a.m. – 10:50 a.m.

Networking Break

10:50 a.m. – 11:35 a.m.

Chief Compliance Officer’s (CCO’s) Role in Cybersecurity

Increased use of technologies such as mobile devices, social media and cloud computing has increased the risk posed by cyber criminals. As a result, in addition to other compliance matters, the CCO is now also responsible for assisting—and protecting—company information technology (IT) systems. During this session, panelists discuss the role CCOs can play in a firm’s cybersecurity program.


  • Justin Triolo, FINRA New York District Office


  • Kevin Bogue, FINRA Chicago District Office
  • John Brady, FINRA Technology, Cyber & Information Security
  • John Gardini, American Capital Partners, LLC
  • Joshua (Josh) Hergan, Park Avenue Securities

11:35 a.m. – 11:50 a.m.

Networking Break and Boxed Lunch

11:50 a.m. – 12:30 p.m.

Ask Senior FINRA District Staff

During this session, FINRA New York Regional staff discuss the regulatory environment and a range of topics affecting broker-dealers.


  • William (Bill) St. Louis, FINRA New York and Long Island District Offices


  • John Edmonds, FINRA New York District Office
  • Scott Gilbert, FINRA New York District Office
  • John Hickey, FINRA New York District Office
  • Evelyn Kriegel, FINRA Long Island District Office

12:30 p.m.

Forum Adjourns