2019 FINRA Small Firm Conference

2019 FINRA

Small Firm Conference

October 23 ?24 | Santa Monica, CA This conference focuses on effective practices and tips for complying with FINRA rules--from the unique perspective of small firms. Attend this year's conference to hear the latest regulatory updates, learn new approaches and to stay on top of small firm topics.

Register at 2019smallfirmconference Stay updated and share your comments using #FinraSF

Agenda | October 23 ? 24

Wednesday, October 23 12:00 p.m. ? 5:30 p.m.

2:00 p.m. ? 2:05 p.m. 2:05 p.m. ? 2:45 p.m. 2:45 p.m. ? 3:00 p.m. 3:00 p.m. ? 4:00 p.m.

4:00 p.m. ? 4:15 p.m. 4:15 p.m. ? 5:15 p.m.

5:30 p.m. ? 7:00 p.m.

Registration Welcome Remarks | Chip Jones, FINRA Member Relations and Education Fireside Chat--Featuring

? Robert Cook, FINRA President and CEO ? Bari Havlik , Executive Vice President of Member Supervision ? Chip Jones, Senior Vice President of Member Relations and Education Networking Break Regulation Best Interest

00 Panelists discuss key issues regarding the SEC's Regulation Best Interest Rule. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to prepare for the SEC's Regulation Best Interest Rule.

Moderator: ? James (Jim) Wrona, FINRA Office of General Counsel Panelists: ? Lourdes Gonzalez, U.S. Securities and Exchange Commission (SEC) ? Wendy Lanton, Lantern Investments, Inc. ? Lisa Roth, Tessera Capital Partners, LLC

Networking Break Transformation of FINRA's Examination and Risk Monitoring Program

00 During this session, FINRA staff will discuss the new firm grouping structure, the status of changes and what small firms can expect going forward.

Moderator: ? Colleen Diles, FINRA Los Angeles District Office Panelists: ? Jeff Aelmore, FINRA Denver District Office ? Anna Garabedi, FINRA Denver District Office ? Jennifer Luginbill, FINRA Kansas City District Office

Networking Reception | The Bungalow

Thursday, October 24 8:00 a.m. ? 4:00 p.m. 8:00 a.m. ? 9:00 a.m. 9:00 a.m. ? 10:00 a.m.

10:00 a.m. ? 10:15 a.m.

Registration Networking Breakfast Cybersecurity Guidance for Small Firms

00 It is crucial that small financial firms take proper cybersecurity measures to protect their customers and their firm. During this session, panelists provide risk-based, threat-informed effective practices applicable to small firms and supportive of their overall business model to increase their security and ensure the protection of their customers.

Moderator: ? David (Dave) Kelley, FINRA Kansas City District Office

Panelists: ? Kevin Bogue, FINRA Chicago District Office ? Wyatt Hamilton, Peak Brokerage Services, LLC ? Jennifer Szaro, Lara, May & Associates, LLC

Networking Break

Continuing Education (CE) Credits

Attendance to this conference qualifies for Certified Regulatory and Compliance Processional (CRCP?) and Certified Financial Planner (CFP) CE credits--plus earn a Continuing Legal Education (CLE) CE voucher.

For more information and to register, please visit 2019smallfirmconference

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Agenda | October 23 ? 24

10:15 a.m. ? 11:15 a.m.

11:15 a.m. ? 11:30 a.m. 11:30 a.m. ? 12:30 p.m.

12:30 p.m. ? 1:15 p.m. 1:15 p.m. ? 1:45 p.m. 1:45 p.m. ? 2:45 p.m.

2:45 p.m. ? 3:00 p.m. 3:00 p.m. ? 4:00 p.m.

4:00 p.m.

Common Examination Findings

00 Join FINRA staff as they discuss FINRA's examination process and most common deficiencies identified during cycle examinations of small firms. Industry practitioners present effective practices for preparing for examinations, taking corrective action and updating compliance procedures, and practices based on lessons learned from common examination findings.

Moderator: ? Gerald (Jerry) Dougherty, FINRA Denver District Office Panelists: ? Alif Dhanidina, FINRA Los Angeles District Office ? Shawn McLaughlin, McLaughlin Ryder Investments, Inc. ? Harry Striplin, Paulson Investment Company, LLC

Networking Break AML Challenges and Effective Practices

00 During this session, FINRA staff and industry practitioners discuss common challenges small firms face in establishing and implementing AML compliance programs, as well as practical solutions to these challenges that FINRA staff and industry professionals have developed and observed.

Moderator: ? Jeff Aelmore, FINRA Denver District Office Panelists: ? Kent Lund, GVC Capital LLC ? Lea Satterfield, FINRA Anti-Money Laundering Investigative Unit (AMLIU) ? Craig Watanabe, DFPG Investments, Inc.

Networking Lunch Dessert With Exhibitors Managing Third-Party Compliance Vendors: Tips and Effective Practices

00 Establishing a strong third-party risk management program is an important step in mitigating risks. During this session, panelists discuss tips on performing an effective due diligence review and provide advice on evaluating services.

Moderator: ? Isabel Patel, FINRA San Francisco District Office Panelists: ? Sean Abbey, FINRA Denver District Office ? Melinda (Mimi) LeGaye, Moody Securities, LLC

Networking Break How Small Firms Can Effectively Keep Up to Date with New Regulatory Obligations

00 Join FINRA staff and industry practitioners as they discuss how they track, analyzeand implement policies to comply with new rules. Panelists provide practical tips for keeping Written Supervisory Procedures (WSPs) up to date, training staff and testing new procedures.

Moderator: ? John Veator, FINRA Member Relations and Education Panelists: ? S. Kendrick (Ken) Dunn, Hamilton Grant, LLC ? Chris LeVasseur, FINRA Los Angeles District Office ? Jessica Pastorino, M&A Securities Group

Conference Adjourns

For more information and to register, please visit 2019smallfirmconference

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Featured Speakers

Robert W. Cook--President and Chief Executive Officer, FINRA

Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on over 2,000 rule filings and new product listings each year from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing more than 30 major rulemaking actions and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff's review of equity market structure. Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC, office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters. Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.

Bari Havlik--Executive Vice President, Member Supervision, FINRA

Bari Havlik is Executive Vice President for Member Supervision. In this capacity, Ms. Havlik leads FINRA's Member Regulation program, which includes surveillance and examination programs for member firms. Previously, Ms. Havlik was a Senior Vice President and Chief Compliance Officer for The Charles Schwab Corporation. She began her career in financial services in 1982, and has worked for discount brokerage, full service retail and institutional securities firms, as well as bank-affiliated broker-dealers. Ms. Havlik received her undergraduate degree from DePaul University. She serves on the board of Creativity Explored, a non-profit that gives artists with developmental disabilities the means to create and share their work with the community, celebrating the power of art to change lives. Before relocating to New York, she also served on the board of GirlVentures, a non-profit that inspires girls to lead through outdoor adventure, inner discovery and collective action.

Chip Jones-- Sr. Vice President, Member Relations & Education

Chip Jones is Senior Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Mr. Jones' responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Mr. Jones also oversees FINRA's Member Education area, which includes FINRA conferences and other member firm educational offerings such as the FINRA Institute at Georgetown for the Certified Regulatory and Compliance Professional (CRCP)? designation. Prior to joining FINRA, Mr. Jones spent six years as Vice President of Regulatory and Industry Affairs at American Express Financial Advisors (AEFA). Previous to AEFA, he spent two years as Advocacy Administrator for the Association for Investment Management and Research (AIMR). Mr. Jones was employed by the Virginia Securities Division as a senior examiner/ investigator prior to joining AIMR.

2019 FINRA Small Firm Conference App

Our conference app is created specifically for the Small Firm Conference; it empowers our attendees to network and connect, and it provides conference details at your fingertips. The app will be available for download in the near future. It includes information about:

00 speakers; 00 sessions; 00 exhibitors; 00 continuing education; 00 maps; and 00 networking opportunities.

For more information and to register, please visit 2019smallfirmconference

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Registration | Hotel and Travel Information

REGISTER NOW @

finra

How to Register

To register, visit 2019smallfirmconference and complete the online registration form using your credit card. Conference registration is limited and available on a first-come, first-served basis. If you experience difficulties registering, please call (800) 321-6273 or send an email to conreg@.

Confirmation Email

You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

Cancellation Policy

Full refunds for registration fees, less a $50 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after October 9, 2019.

Contact Information

If you have any questions regarding this conference or for information about other administrative policies, please call (800) 321-6273.

Fees

IN-PERSON--INDIVIDUAL

FINRA Member Firm | must provide valid CRD # FINRA Member Small Firm | must provide valid CRD # Non-Member Government/State/Regulator

IN PERSON GROUP* (Per Person)

$945

$495

The Sma$1ll,3F2ir5m Conference is$6s7o0ld out and we currently have

a waitlist.

FINRA Member Firm | must provide valid CRD # FINRA Member Small Firm | must provide valid CRD # Non-Member

$800 $370 $1,130

* Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instructions in registration system.

Travel Information

FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to the receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary. Please note that hotel reservations, cancellations, and charges are the attendee's responsibility.

Hotel Information

The 2019 Small Firm Conference takes place at:

Fairmont Miramar Hotel & Bungalows, Santa Monica

101 Wilshire Boulevard Santa Monica, CA 90401

Hotel Reservations

The room block at the Fairmont Miramar Hotel and Bungalows is sold out. FINRA has secured an overflow block at the Huntley Santa Monica Beach Hotel at the room rate of $359 plus tax per night. The rate is available until October 7, 2019, or until the room block is sold out. Reserve your room by calling the Huntley at 888-532-5155 and identify yourself as an attendee of FINRA's 2019 Small Firm Conference.

For more information and to register, please visit 2019smallfirmconference

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Speakers | as of October, 2019

Sean Abbey Jeff Aelmore Kevin Bogue Robert Cook Alif Dhanidina Colleen Diles Gerald (Jerry) Dougherty S. Kendrick (Ken) Dunn Anna Garabedi Lourdes Gonzalez Wyatt Hamilton Bari Havlik Chip Jones David (Dave) Kelley Wendy Lanton Melinda (Mimi) LeGaye Chris LeVasseur Jennifer Luginbill Kent Lund Shawn McLaughlin Jessica Pastorino Isabel Patel Lisa Roth Lea Satterfield Harry Striplin Jennifer Szaro John Veator Craig Watanabe James (Jim) Wrona

FINRA Denver District Office FINRA Denver District Office FINRA Chicago District Office FINRA FINRA Los Angeles District Office FINRA Los Angeles District Office FINRA Denver District Office Hamilton Grant, LLC FINRA Los Angeles District Office U.S. Securities and Exchange Commission (SEC) Peak Brokerage Services, LLC FINRA Member Supervision FINRA Member Relations and Education FINRA Kansas City District Office Lantern Investments, Inc. Moody Securities, LLC FINRA Los Angeles District Office FINRA Kansas City District Office GVC Capital LLC McLaughlin Ryder Investments, Inc. M&A Securities Group FINRA San Francisco District Office Tessera Capital Partners, LLC FINRA Anti-Money Laundering Investigative Unit (AMLIU) Paulson Investment Company, LLC Lara, May & Associates, LLC FINRA Member Relations and Education DFPG Investments, Inc. FINRA Office of General Counsel

Exhibitors

Conference exhibitors showcase a range of products and services for broker-dealer firms. Current exhibitors include:

00 Alvarez & Associates 00 CerFi 00 ComplySci 00 Computer Services, Inc. 00 Compliance Solutions Strategies (CSS) 00 Foreside 00 Global Relay

00 INTL FCStone Financial Inc. 00 Raymond James & Associates 00 Renaissance Regulatory Services, Inc. 00 Smarsh 00 Solomon Exam Prep 00 Stein & Stein, P.A 00 The SDDco Group

FINRA has a limited number of exhibitor opportunities remaining for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 or email Jeff.Arcuri@ to request a conference exhibitor package.

FINRA Business Booth

Member Supervision ? Transformation of FIRNA's Examination and Risk Monitoring Program

For more information and to register, please visit 2019smallfirmconference

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