Deirdre Patten, Director of Saenger Consulting Group, joined GRIP's Julie DiMauro to share their impressions of the 2026 FINRA annual conference, noting the historic turnout this year.
FINRA Annual
Panel discussion focused on observing isolation as a vulnerability in the modern financial landscape.
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FINRA Annual 2026: Exam and enforcement enhancements offer guidance to member firms
Speakers discussed the enhancements FINRA is making to both divisions and how firms can navigate their way through these processes with better practices.
Speakers tackled emerging developments in crypto, AI, prediction markets and other critical regulatory topics shaping financial services entities.
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.
The 2025 FINRA annual conference kicked off with reminders of the SRO's accomplishments and mission, but the tone was muted.
Senior figures talked about how technology such as LLMs present great business opportunities … and risks.
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.