General Session - Keynote Panel: Regulatory Enforcement Priorities (OPEN)

Enforcement staff from both FINRA and the SEC will discuss current priorities and recent enforcement proceedings relating to broker-dealers, investment advisers, investment companies, and private funds.  The regulatory panelists will provide insight into the following areas of enforcement: off-channel communications, artificial intelligence, cybersecurity, Risk Alert topics and sweep exams leading to enforcement actions, and self-reporting.

This panel is open to both regulators and members of the press.