BROWSE BY TOPIC
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
FINRA Invites New York Region Members to Forum
Financial professionals associated with FINRA member firms in the New York Region are invited to attend a half day event where they can engage in key discussions with FINRA New York Regional staff, and connect with industry leaders and peers. The forum will be held December 6, 2018, at the Marriott Marquis New York.
AGENDA FOR THE N.Y. REGION MEMBER FORUM.
8:00 a.m. – 12:30 p.m. Registration
8:00 a.m. – 9:00 a.m. Networking Breakfast
9:00 a.m. – 9:10 a.m. Welcome and New York Region Update
9:10 a.m. – 10:10 a.m. Enforcement Initiatives, Developments and Priorities
This session provides an overview of new developments and trends in enforcement, including enforcement priorities. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices.
10:10 a.m. – 10:20 a.m. Networking Break
10:20 a.m. – 11:20 a.m. Compliance Officer’s (CCO’s) Role in Cybersecurity
Increased use of technologies such as mobile devices, social media and cloud computing has increased the risk posed by cyber criminals. As a result, in addition to other compliance matters, the CCO is now also responsible for assisting - and protecting - company information technology (IT) systems. During this session, panelists discuss the role CCOs can play in a firm’s cybersecurity program.
11:20 a.m. – 11:30 a.m. Networking Break and Boxed Lunch
11:30 a.m. – 12:30 p.m. Ask Senior FINRA District Staff
During this session, FINRA New York Regional staff discuss the regulatory environment and a range of topics affecting B/D's.
12:30 p.m. Forum Adjourns
[Click below link to register.]