West Region Networking Seminar Agenda

The West Region Networking Seminar is a half-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services industry, and the opportunity to meet one-on-one with FINRA l Regulatory Coordinators, Surveillance and District Directors to discuss firm-specific issues. 

Thursday, March 15

9:00 a.m. – 3:00 p.m.

Registration


10:00 a.m. – 10:15 a.m.

Welcome and Opening Remarks

  • Chip Jones, FINRA Member Relations and Education

10:15 a.m. – 11:15 a.m.

Session I: Product Vetting: Supervisory Systems and Controls

As the number and complexity of products available to investors continue to increase, FINRA continues to assess the adequacy of firms’ controls to meet their obligations to ensure the proper sale of such products. Panelists discuss FINRA’s reviews of how firms conduct new product vetting, the vetting process itself, and the supervisory systems and controls firms put in place to ensure personnel are appropriately educated and trained on the sale and supervision of new products.

Moderator: Donald Lopezi, FINRA West Region

Panelists:

  • Gerald Dougherty, FINRA Denver District Office
  • Mark Quinn, Cetera Financial Group
  • Joanne Salisbury, E.K. Riley Investments, LLC

11:15 a.m. – 12:30 p.m.

Networking Lunch


12:30 p.m. – 1:45 p.m.

Session II: FINRA Examination Findings Report

Panelists discuss the Report on FINRA Examination Findings. They review effective practices and considerations worth highlighting due to their potential impact on investors and markets or the frequency with which they occur.

Moderator: David Greene, FINRA Los Angeles District Office

Panelists:

  • Colleen Diles, FINRA Los Angeles District Office
  • Suzann LoCoco, CUSO Financial Services, L.P.
  • Michelle Thomas, WBB Securities, LLC

1:45 p.m. – 2:00 p.m.

Networking Break


2:00 p.m. – 3:00 p.m.

Session III: Ask FINRA Senior Staff

FINRA senior leaders discuss the regulatory environment and a range of topics affecting broker-dealers.

Moderator: Chip Jones, FINRA Member Relations and Education

Panelists:

  • Lance Burkett, FINRA Denver District Office
  • David Greene, FINRA Los Angeles District Office
  • Donald Lopezi, FINRA West Region
  • Thomas Mellett, FINRA San Francisco District Office

3:00 p.m.

Seminar Adjourns