Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Unscripted Recorded at FINRA’s RegTech Conference in New York

February 6, 2019
Volume 6

  • UPC Advisories

Education and Compliance Programs

This special episode of FINRA Unscripted recorded at FINRA’s RegTech conference in New York, offers three unique perspectives on the opportunities and challenges RegTech tools can present for firms and regulators. The tools can also pose some interesting philosophical questions regarding implementation. Listen to Nick Cook, head of RegTech and Advanced Analytics at the United Kingdom’s Financial Conduct Authority (FCA); Michael Pieciak, Vermont’s Commissioner of Financial Regulation and the president of the North American Securities Administrators Association (NASAA); and Haime Workie, FINRA’s senior director of Emerging Regulatory Issues discuss some of the most common ways firms are currently using RegTech, the challenges in implementation, key areas to watch and more.

Listen to the podcast.



UPC Advisories
The following UPC Advisories weres posted in the past week:

  • UPC #04-19 AG&E Holdings Inc. (AGNUQ)
  • UPC #03-19 Gastar Exploration Inc. (GSTCQ, GSPAQ, GSPBQ)
  • UPC #02-19 Egalet Corporation (EGLTQ, EGLTW)

 Education and Compliance Programs

Register today for an upcoming Member Forum in your region to engage in key discussions with FINRA staff and industry peers around the future landscape of the financial services industry.

There is no cost to attend the forums, but attendance is limited to FINRA firms headquartered in specific regions, and is first come, first served. Register today to attend a forum in your area.

FINRA's Registration and Disclosure (RAD) Training team offers several training solutions designed for those at broker-dealer or joint broker-dealer/investment adviser firms. Training types include:

  • Foundations of CRD Training (next session offered March 7-8, in Jacksonville, FL)
  • Registration and Disclosure Boot Camp (2019 sessions will be announced shortly)
  • Custom Web CRD Training – contact the RAD Training Team to inquire about a training session that is tailored to the needs of your organization.

Visit FINRA's Web CRD Training and Support page to learn more. Space is limited, so please register early.

Register early for the Annual Conference, which takes place May 15-17, 2019, in Washington, DC. This year's conference features more than 50 sessions and five session tracks geared towards various business models and firm sizes. Join us to hear valuable insights on today’s most timely topics, featuring a keynote address from FINRA President and CEO Robert Cook and Author of The Pursuit of Happyness Chris Gardner.

Reduced rates are available for the first 500 in-person registrants before March 29, 2019. Register today.

Register today for the 2019 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program—comprised of two weeklong residential courses, which are delivered at Georgetown University's McDonough School of Business in Washington, DC. This program provides an executive educational experience that covers the theory and practical application of securities laws and regulation through intensive instruction, discussion and case studies.

  • Week I · July 21 – 26, 2019
  • Week II · November 17 – 22, 2019

Visit FINRA's website for additional details and registration information.

FINRA’s Small Firm Conference returns October 23 – 24, 2019 in Santa Monica, CA. This conference features in-depth discussion on small firms’ practices and tips for complying with FINRA rules.

Discounted rates available—register early to secure your seat.

Registration is now open for FINRA's Advertising Regulation Conference—which takes place October 24 – 25, in Washington, DC. Join us in-person or via live broadcast to gain insights on advertisement compliance, and industry developments concerning communications rules and standard advertising practices. Reduced rates are available to the first 100 to register through May 31.

Registration is now open for FINRA's Senior Investor Protection Conference—which takes place November 12, in Washington, DC. This one-day event is dedicated to sharing the most up-to-date regulatory information and effective strategies and solutions for protecting senior investors and vulnerable adults. Discounted registration rates are available to the first 50 to register through June 28.

FINRA logo

 facebook   twitter   linked in

Regulatory Contacts
FINRA By-Laws require member firms to maintain an Internet email account on behalf of their executive representatives. This facilitates firm notification of important publications and information added to the FINRA website.

Firms wishing to change the name or email address of their executive representative or designated assistant should do so through the FINRA Contact System (FCS). See for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

You received this message because you are currently subscribed to the email subscription list on the FINRA website. To update, sign up for other email lists or cancel your subscription at any time, use our "update information" or "unsubscribe" forms located at