FINRA Annual Conference 2025 highlights
It was great to catch up at the FINRA Annual Conference last week!
Over 2,000 participants, including regulators, compliance professionals, and industry leaders converged on Washington, DC. FINRA offered more than 30 sessions addressing the evolving regulatory landscape, technological advancements, and compliance challenges.
CellTrust launched Carrier and Stacked Capture solutions
CellTrust’s team were on hand to discuss two new SL2 Enterprise Capture platform solution offerings: Carrier and Stacked Capture as well as SL2 for Microsoft Teams, coming soon to the Teams store.
Book 30 minutes with one of our Sales Engineers to learn more about SL2 for Microsoft Teams coming soon to the Teams store!
Among other topics, FINRA provided insight on:
Cybersecurity and Fraud Prevention
FINRA emphasized the escalating risks associated with cyber threats, including ransomware attacks, account takeovers, and insider threats. Sessions highlighted the importance of robust cybersecurity measures and the need for firms to stay vigilant against evolving fraud tactics.
Artificial Intelligence and Compliance
Discussions on generative AI underscored the lack of formal guidance on whether AI-generated outputs constitute official records. FINRA expects firms to apply existing supervisory and recordkeeping obligations to AI tools, ensuring compliance with current regulations.
Remote Supervision and Inspections
The conference addressed the shift towards remote work, focusing on effective practices for remote supervision and inspections. FINRA shared insights on adapting to regulatory changes that accommodate residential supervisory locations and the challenges firms face in this new environment.
Capital Formation and Market Regulation
Keynote sessions explored topics such as capital formation, transparency in fixed income markets, and proposed regulations affecting market structure. FINRA discussed initiatives aimed at enhancing market integrity and investor protection.
FINRA IDEA (Innovation, Demonstration, and Engagement Area)
The FINRA IDEA space showcased advancements in regulatory technology, including tools for trade surveillance, reporting, and dashboards. Attendees engaged with FINRA staff on topics like rule modernization, capital raising, and the integration of AI in compliance processes.
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