As financial advisors await key rules affecting nearly every aspect of how they operate, the timing couldn’t be better for the Financial Industry Regulatory Authority’s 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.

Register or login for access to this item and much more

All On Wall Street content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access