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News Release

Angelita Williams (202) 728-8988
Ray Pellecchia (212) 858-4387

FINRA to Hold Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours

WASHINGTON—FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours Nov. 9-10.

The Virtual AI Conference is a half-day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. The conference builds on FINRA's Office of Financial Innovation (OFI) in-depth study over the past two years of the impacts of AI in the securities industry which resulted in the publication of a white paper in June.

The FinTech Office Hours will be hosted by OFI and are designed to facilitate engagement with broker dealers, vendors and other market participants seeking to bring forth fintech innovations. Office hours are free to the industry and general public and provide a platform for discussions on market and regulatory implications and related benefits associated with innovations occurring in the financial industry. Office hour appointments are limited and available on a first-come, first-served basis.

Participants do not need to be registered for the Artificial Intelligence (AI) Virtual Conference to participate in the FinTech Office Hours.

"We look forward to the opportunity to communicate directly with member firms and the fintech community during the Virtual AI Conference to share insights on how artificial intelligence is impacting the securities industry, as well as to discuss the implications for investor protection and market integrity," said Haimera Workie, FINRA's Senior Director and Head of OFI. "In addition, through the Fintech Office Hours, we hope to provide a forum for dialogue and a robust exchange of ideas on ways in which financial innovation is altering business models and processes in the securities industry."

For those who cannot attend, the conference will be archived on for later viewing. In order to register, members of the press should email the Media Relations department at [email protected] or contact Angelita Williams at (202) 728-8988. Press are not permitted to participate in the live Q&A sessions during the event. If you have questions following any sessions, please contact the Media Relations department.  


FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit