Regulatory Interchange Webinar Featuring FINRA
Join us on March 19th for a Regulatory Interchange webinar featuring FINRA.
Event Details
Join us on March 19th for a Regulatory Interchange webinar featuring FINRA. NSCP hosts Regulatory Interchanges to facilitate direct dialogue between compliance professionals and regulators. We will discuss exam insights, enforcement actions, compliance best practices, and more - critical updates for financial services compliance staff.
Session 1: FINRA's Exam Program and Considerations for 2026
Speakers:
Carlos Barrientos (Moderator)
Compliance Officer
Invex, Inc.
Jessica Hathaway
Examination Director, Examinations
FINRA
Session 2: Enforcement and Trends in Cybersecurity, AI, Financial Crimes, Fraud, & the Exploitation of Vulnerable Adults and Senior Investors
Speakers:
David Byrne
Investigative Director, Specialist Team
FINRA
Michael Paskin
VAST Manager
FINRA
Mark your calendar so you don’t miss this event!
Registration Information
No need to register. Similar to other NSCP virtual events, access will be provided to NSCP Members via email one day before the event.
This webinar will be accessible to NSCP Members only.
Not an NSCP Member? JOIN NOW
This event is accessible to NSCP members only to view live or watch the recording.
Members will receive access to the webinar platform the day before the event via e-mail.