As financial advisors await key rules affecting nearly every aspect of how they operate, the timing couldnt be better for the Financial Industry Regulatory Authoritys three-day annual conference in D.C.
SEC Commissioner Elisse Walter keynotes on Monday at 10:30am, followed by a panel discussion featuring industry compliance executives and moderated by FINRA Chief Executives Rick Ketchum. On Tuesday, Ketchum will speak about the latest from the self-regulatory organization and FINRA executives will field attendee questions on the rules, enforcement and examinations, among other topics.
The three-day event will host sessions on fraud prevention, cyber security, disciplinary hearings, social media and more.
Its where firms, regulators, legal professionals and others discuss the emerging issues in the securities industry, and explore practical compliance solutions, Ketchum said of the conference in a statement. Its the place for regulators to explain our priorities and provide guidance, [and] where firms can engage with us directly and share whats on their mind