3a. ALL – Evolving Privacy Regulations (Intermediate)  

This session offers in-depth exploration of the evolving landscape of federal, state and foreign data privacy laws and regulations affecting the financial services industry. The panel will delve into the interplay between these privacy regulations and related mandates, such as recordkeeping requirements, social media guidelines, and 10-Digit Long Code (10DLC) compliance. Emphasis will be placed on the critical importance of establishing and maintaining robust policies, procedures, and controls to protect consumer data. By the end of this session, participants will have a comprehensive understanding of the current privacy regulatory environment, including 10DLC and state-specific rules, and will be equipped with practical strategies to develop and maintain effective compliance programs within their firms’ reporting requirements and cybersecurity are addressed in other sessions.  This session is open to regulators but closed to members of the press.


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2h. BD/IA - Dual Registrants Talk Group (Smaller Firms)

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3b. ALL – Demystifying CRD and IARD:  Navigating the Essentials (Basic)