What to Expect at the FINRA Annual Conference 2025

As the financial sector continues to evolve at a breakneck pace, staying ahead of compliance requirements is more than just good practice—it’s essential. That’s why the FINRA Annual Conference 2025 is one of the most anticipated events of the year for compliance officers, CFOs, and financial executives across the industry.

Held from May 14-16, 2025, in Washington, D.C., the FINRA Annual Conference offers a deep dive into the regulatory landscape shaping the financial services sector. From cybersecurity in financial services to risk management strategies and compliance updates, this year’s event promises insights you can’t afford to miss.

In this preview, we’ll break down the conference’s most important themes, notable sessions, and why attending—or at least tracking the takeaways—should be a top priority for any financial firm looking to stay compliant and competitive.

Why the FINRA Annual Conference Matters

The Financial Industry Regulatory Authority (FINRA) is at the core of U.S. financial industry regulation. Each year, its Annual Conference gathers regulators, legal experts, technology leaders, and financial services executives to discuss the state of compliance—and what’s coming next.

This event isn’t just about regulation—it’s a lens into the future of the financial industry. For firms navigating everything from increased regulatory scrutiny to rising cyber threats, the FINRA Annual Conference 2025 is a critical source of strategic guidance.

Key Topics on the Agenda

Here’s a breakdown of the key themes and compliance issues expected to take center stage this year:

1. Cybersecurity in Financial Services

In today’s digital-first financial environment, FINRA cybersecurity guidelines are rapidly evolving to address new threats. Expect deep dives into topics like:

• Ransomware prevention and response

• Third-party vendor security risks

• Cloud security compliance

• Real-world case studies of breaches and recoveries

These sessions will help firms understand not only how to strengthen defenses, but also how to meet FINRA’s expanding cybersecurity expectations.

2. Regulatory Changes and Compliance Updates

The pace of change in financial industry regulation is accelerating. At the 2025 conference, FINRA is expected to outline updates to:

• Supervision rules and best execution

• Crypto asset regulations

• Reporting and audit trail requirements

• Anti-money laundering (AML) policies

Compliance professionals will get an inside look at how these updates will affect firm operations and how to prepare effectively.

3. Risk Management and Operational Resilience

Effective risk management is more than a checklist—it’s a culture. Sessions will explore how firms can:

• Build operational resilience in a volatile market

• Integrate enterprise risk management (ERM) into everyday operations

• Leverage IT security frameworks for regulatory alignment

• Develop response plans for emerging threats

These insights will be especially valuable for CFOs and CEOs looking to mitigate both financial and reputational risks.

Speakers and Panels to Watch

The FINRA Annual Conference 2025 will feature a lineup of top-tier experts from across the regulatory and financial services landscape. While the full agenda will be released closer to the event, past conferences have included keynote addresses from:

• Robert Cook, FINRA President and CEO

• Senior executives from the SEC and CFTC

• Industry compliance leaders from top broker-dealers and fintech firms

• Cybersecurity experts from leading IT and managed service providers

In 2025, you can expect a focus on cross-functional collaboration, with panels combining legal, IT, and executive perspectives to solve complex regulatory challenges.

The Evolving Role of IT in FINRA Compliance

One of the biggest trends to watch at this year’s conference? The growing role of IT security in achieving and maintaining FINRA compliance.

As financial regulations increasingly incorporate technology standards, firms are expected to:

• Demonstrate effective cybersecurity controls

• Document incident response readiness

• Prove ongoing vulnerability management and patching

• Monitor access controls and privileged accounts

This is where partnering with a compliance-savvy IT provider like Charles IT can make all the difference. We help financial firms align their technology infrastructure with FINRA’s expectations—without compromising on efficiency or growth.

Why Staying Ahead of Compliance Matters

With the stakes higher than ever, financial firms can’t afford to take a reactive approach to regulation. Attending the FINRA Annual Conference or staying informed about its takeaways allows your firm to:

• Anticipate changes and avoid last-minute compliance scrambles

• Reduce the risk of regulatory fines and audits

• Strengthen client trust through a demonstrated commitment to security

• Create competitive advantages by turning compliance into a business asset

In short, regulatory intelligence isn’t just about playing defense—it’s a smart, proactive investment in your firm’s long-term success.

Get the Insights, Even if You Can’t Attend

Whether you’re attending in person or following from afar, the FINRA Annual Conference 2025 is a must-watch moment for anyone in the financial sector.

Want to take action now?

📥 Download the Charles IT FINRA Cybersecurity Compliance Guide
Our expert-curated guide outlines actionable steps your firm can take today to align with evolving FINRA cybersecurity requirements—from data protection to incident response.

Final Thoughts

The FINRA Annual Conference 2025 represents more than a networking opportunity—it’s a roadmap for where the financial services industry is heading. With sessions focused on cybersecurity, compliance trends, and risk management, financial firms that engage with these insights will be better equipped to handle whatever the regulatory future holds.

Charles IT is here to help you not only meet FINRA’s standards but also exceed them, with white-glove IT compliance solutions tailored to the needs of your firm.

Let’s get you ready for what’s next.

Need help navigating FINRA compliance?
Contact Charles IT today to schedule a free consultation with our financial cybersecurity experts.