FINRA

This panel brings together regulators and FINRA member firms to explore how regulatory tools and firm-level action can work together to protect senior investors. Regulators share what they are seeing including common red flags, examination findings and expectations around documentation, escalation and reporting. FINRA member firms provide real-world success stories demonstrating how the Trusted Contact Person Rule and FINRA Rule 2165 have prevented harms, stopped scams and ultimately strengthened client relationships.

FINRA Category: Conferences and Events

Add to Calendar: https://www.finra.org/calendar/ical/381116/calendar.ics

Source: https://www.finra.org/compliance-tools/compliance-calendar

FINRA's Crypto and Blockchain Education Program equips financial professionals with comprehensive, practical knowledge to understand and navigate crypto assets and blockchain technology. The in-person applied learning course, delivered in partnership with Georgetown University's McDonough School of Business, provides an immersive, hands-on experience that transforms foundational learning into actionable knowledge.

The multiday in-person course combines expert instruction, interactive discussions, case studies, and hands-on scenarios designed to deepen your understanding and increase knowledge retention.

FINRA Category: Conferences and Events

Add to Calendar: https://www.finra.org/calendar/ical/381121/calendar.ics

Source: https://www.finra.org/compliance-tools/compliance-calendar