2019 RegTech Conference

2019 RegTech Conference

Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’ compliance programs—they also raise new challenges and regulatory implications for firms to consider.

FINRA’s RegTech Conference provides a forum for regulators, thought leaders and industry practitioners to learn more about the use of RegTech tools, and related opportunities and challenges.

Location

InterContinental New York Times Square
300 West 44th Street
New York, NY 10036
(212) 803-4500

Agenda

View the schedule at-a-glance and online brochure for the 2019 RegTech Conference.

Accommodations

A room block is available at the InterContinental New York Times Square Hotel at the special rate of $249 per night, plus tax. This rate is available until December 26, 2018 or until the room block is sold out. Hotel reservations will then be accepted on a space- and rate-available basis.

NEW PROCESS FOR FINRA PROGRAMS

To reserve a room, you must first register as an attendee for the conference. A hotel reservation link will then be provided in your registration summary page and your registration confirmation email. Please contact us with any additional questions.

Registration and Fees

In-Person Rates

FINRA Member Firm
must provide valid CRD #
$945
REGISTER
FINRA Member (Small Firm)
must provide valid CRD #
$495
REGISTER
Government/State
 
$670
REGISTER
Non-Member
 
$1,325
REGISTER

Group Rates* (Per Person)

FINRA Member
must provide valid CRD #
$800
REGISTER
FINRA Member (Small Firm)
must provide valid CRD #
$370
REGISTER
Non-Member
 
$1,130
REGISTER

*Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instructions in the registration system.

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.

Refunds

Full refunds for registration fees, less a $75 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after January 3, 2019.

Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 or via email to request a conference exhibitor package.

Additional Information

Please direct questions about registration to (202) 728-6980 or via email.

This event is open to the media. There is no charge for media covering the conference, but registration is required. Please contact us with any media inquiries.