Insights & News

Washington DC Compliance Roundtable
FINRA 2019 Regulatory Priorities

March 7, 2019
3:30-4:30 p.m. CST; Networking to Follow

Stradley Ronon's Chicago Office
191 N. Wacker Dr., Suite 1601
Chicago, Illinois

Join Us For
FINRA 2019 Regulatory Priorities
with
Steven Polansky, FINRA

Host Nicole Kalajian, Stradley Ronon

(Interactive Webcast with DC)

Steven Polansky is a Senior Director in FINRA's Office of Shared Services and leads the Special Initiatives Group. The Group develops FINRA’s annual priorities letter as well as the Examination Findings Report and was responsible for, among other things, preparing FINRA’s digital investment advice and earlier cybersecurity and conflicts of interest reports. Steve is also a member of FINRA’s Innovation Outreach Initiative Team, which is designed to help FINRA better understand financial technology innovations and their impact on the industry, and he co-leads the FINRA FinTech Industry Committee. Previously, Steve worked in FINRA's International Department, where he was responsible for analyzing international regulatory developments and leading FINRA's relationships with select financial regulators in Europe and Asia as well as international financial institutions. In addition, Steve led advisory projects in a number of jurisdictions related to risk-based supervision, prudential oversight and market surveillance.

Agenda:

3:30-4:30 p.m. Discussion

4:30-5:00 p.m. Networking Reception
Register

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