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.]