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May 2018
May 2018


Washington Marriott Marquis 901 Massachusetts Avenue NW Washington , District of Columbia 20001
Tel: (202) 824-9200
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2018 FINRA Annual Conference - Financial Industry Regulatory Authority






$595 - $2,195


Event Overview:

Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.

Attendee Information:

Why Attend?

FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

About FINRA:

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.

FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.

Exhibitor Prospectus and Kit

Keynote Speakers

Robert Cook

President and Chief Executive Officer, FINRA

Robert Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (SEC). Under his direction, the Division’s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings and new product listings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff’s review of equity market structure.

Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC, office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.

Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.

The Honorable Preston Rutledge

Assistant Secretary of Labor, Employee Benefits Security Administration, U.S. Department of Labor

Preston Rutledge is the Assistant Secretary of Labor for the Employee Benefits Security Administration (EBSA). Before joining the Department of Labor, he served as senior tax and benefits counsel on the Majority Tax Staff of the U.S. Senate Finance Committee, where his responsibilities included employee benefits, retirement issues, tax-exempt organizations, health tax issues and the tax provisions of the Affordable Care Act. Prior to joining the Finance Committee, Mr. Rutledge served as a senior tax law specialist on the Headquarters Staff of the Tax Exempt and Government Entities Division of the Internal Revenue Service, and as a senior technical reviewer in the Qualified Pension Plans Branch of the IRS Office of Chief Counsel. During his tenure there, he was the recipient of an Office of Chief Counsel National Award. Mr. Rutledge also served as a law clerk on the United States Court of Appeals for the Fifth Circuit, and worked in private law practice as an employee benefits counselor and ERISA litigator.

Mr. Rutledge earned a B.S. in business (cum laude) from the University of Idaho; J.D., with high honors, from the George Washington University School of Law; and an L.L.M. – taxation, with distinction, including a certificate in employee benefits law, from the Georgetown University Law Center. Prior to law school, Mr. Rutledge was a Naval Officer and served on the U.S.S. Bagley (FF-1069).

The Honorable Jay Clayton

Chairman, U.S. Securities and Exchange Commission

Jay Clayton was nominated to chair the U.S. Securities and Exchange Commission (SEC) on January 20, 2017, by President Donald Trump and sworn in on May 4, 2017.

Since joining the Commission, Chairman Clayton has focused on the long-term interests of America’s retail investors, a perspective he shares with the SEC staff. Chairman Clayton has made it a priority to increase the access of retail investors, a perspective he shares with the SEC staff. Chairman Clayton has made it a priority to increase the access of retail investors to a diverse range of investment opportunities and see that they continue to benefit from the protections of our securities laws. Key areas of focus for Chairman Clayton include: making our capital markets more accessible to businesses and investors alike, while ensuring the United States continues to be the world’s leader in terms of effective disclosure and other investor protections; and examining and addressing equity and fixed income market structure issues with an emphasis on fairness, efficiency and resiliency, recognizing that our markets are ever-changing.

Chairman Clayton also has been outspoken on securities law issues related to distributed ledger technology, cryptocurrencies and initial coin offerings. Prior to joining the Commission, Chairman Clayton was a partner at Sullivan & Cromwell LLP, where he was a member of the firm’s Management Committee and co-head of the firm’s corporate practice.

Chairman Clayton has authored publications on securities law, cybersecurity, and other regulatory issues, and from 2009 to 2017 he was a Lecturer in Law and Adjunct Professor at the University of Pennsylvania Law School. Prior to joining Sullivan & Cromwell, Chairman Clayton served as a law clerk for the Honorable Marvin Katz of the U.S. District Court for the Eastern District of Pennsylvania. A member of the New York and Washington, D.C. bars, Chairman Clayton earned a B.S. in Engineering from the University of Pennsylvania (summa cum laude), a B.A. and M.A. in Economics from the University of Cambridge (Thouron Scholar), and a J.D. from the University of Pennsylvania Law School (cum laude, Order of the Coif).

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