The FINRA Annual Conference 2026 is the premier event organized by the Financial Industry Regulatory Authority (FINRA), designed to provide member firms with practical guidance and critical insights on trending regulatory and compliance topics. This forum aims to enhance investor protection by helping firms prepare for regulatory changes and refine their compliance practices.
Key topics covered at the conference include the integration of artificial intelligence in regulatory processes, strategies for combating financial crimes, and approaches to modernizing market structures. Sessions will also address compliance challenges in the digital age, such as managing off-channel communications and supervising complex products.
Attendees will have opportunities to participate in interactive workshops, network with industry experts and peers, and engage with FINRA staff. The conference will feature an expo hall showcasing compliance solutions and resources, as well as receptions and tailored discussions focused on specific content areas.
This event is ideal for compliance officers, risk management professionals, legal experts, and senior leadership within member firms. By attending, participants will gain valuable insights into regulatory developments, enhance their compliance strategies, and build connections within the industry.
Speakers(13)
Bill St. Louis
Executive Vice President and Head of Enforcement at FINRA
Bill St. Louis oversees FINRA's enforcement program, ensuring compliance with securities laws and regulations.
Bryan Smith
Senior Vice President and Acting Head of Strategic Intelligence at FINRA
Bryan Smith leads FINRA's strategic intelligence efforts, analyzing market trends and regulatory developments.
Erin Baskett
Chief Compliance Officer at Sine Qua Non Capital LLC
Erin Baskett is the CCO at Sine Qua Non Capital, ensuring the firm's adherence to regulatory requirements.
Feral Talib
Executive Vice President and Head of Market Oversight at FINRA
Feral Talib leads FINRA's market oversight division, monitoring trading activities and market compliance.
Greg Ruppert
Executive Vice President and Chief Regulatory Operations Officer at FINRA
Greg Ruppert leads FINRA's regulatory operations, focusing on protecting investors and market integrity.
Jennifer Szaro
Chief Compliance Officer at XML Securities, LLC
Jennifer Szaro is the CCO at XML Securities, managing the firm's compliance and regulatory affairs.
Kayte Toczylowski
Vice President, Member Relations and Education at FINRA
Kayte Toczylowski oversees member relations and educational programs, supporting firms in compliance and training.
Marcia Asquith
Executive Vice President for Board and External Relations at FINRA
Marcia Asquith is FINRA's EVP for Board and External Relations, managing relationships with external stakeholders.
Ornella Bergeron
Senior Vice President, Risk Monitoring, and Acting Head of Member Supervision at FINRA
Ornella Bergeron manages risk monitoring and member supervision, ensuring firms adhere to regulatory standards.
Paul S. Atkins
Chairman at SEC
Paul S. Atkins is the Chairman of the U.S. Securities and Exchange Commission, overseeing the nation's securities markets.
Robert Cook
President and Chief Executive Officer at FINRA
Robert Cook is the President and CEO of FINRA, overseeing the organization's regulatory operations and strategic initiatives.
Scott Curtis
Chairman of the Board at FINRA
Scott Curtis serves as the Chairman of FINRA's Board of Governors, providing leadership and governance oversight.
Wendy Lanton
Chief Compliance Officer at Herold & Lantern Investments, Inc.
Wendy Lanton serves as CCO at Herold & Lantern Investments, overseeing the firm's compliance programs.
Event Details
- Date
- May 12-14, 2026
- 3 days
- Location
- 🇺🇸 Washington, D.C., United States
- To be provided upon registration
- Pricing
- $650 - $2,300
- Audience
- Compliance officers, risk management professionals, legal experts, and senior leadership within member firms.
- CLE Credits
- Conference sessions may qualify for Certified Financial Planner (CFP) and Certified Regulatory and Compliance Professional (CRCP) continuing education credits.