Fall is a busy time for regulators across the compliance landscape. Take note of these upcoming events, plus some early conference registration news.

Consumer Financial Protection Bureau

  • The CFPB and the Federal Trade Commission will host a public workshop Dec. 10 to discuss issues affecting the accuracy of both traditional credit reports and employment and tenant background screening reports.

Federal Deposit Insurance Corporation

  • Beginning Oct. 16, the FDIC will host a series of listening sessions regarding its supervisory appeals and dispute resolution processes for FDIC-supervised financial institutions.
  • The FDIC will host its own event Oct. 18: the 9th Annual Consumer Research Symposium. Held every fall in Arlington, Va., the symposium focuses on consumer experience in markets for financial products and the impact of public regulation on consumers, households, communities, and financial firms.

Federal Reserve Board


Fed Chair Jerome Powell

  • Fed Listens: Perspectives on Maximum Employment and Price Stability; Oct. 4 in Washington D.C. The Federal Reserve’s review of monetary policy strategy, tools, and communications practices includes outreach to and consultation with a broad range of people and groups interested in the U.S. economy. Throughout 2019, the Federal Reserve Banks and the Federal Reserve Board are holding Fed Listens events around the country to hear perspectives from representatives of business and industry, labor leaders, community and economic development officials, academics, nonprofit organization executives, and others. Opening remarks will be given by Chair Jerome H. Powell.
  • Federal Open Market Committee Meeting*: Two-day event, Oct. 29-30.

*Note: This FRB event is not open to the public. Click here for transcripts, video, and other related content from this event.

Financial Industry Regulatory Authority

  • FINRA hosts the Small Firm Conference on Oct. 23-24 in Santa Monica, Calif. The conference will focus on small firms’ practices and tips for complying with FINRA rules.
  • FINRA’s Advertising Regulation Conference on Oct. 24-25 in Washington D.C. provides a forum for practical guidance on complying with advertising rules, updates on new developments in communications compliance, and the opportunity to meet and learn from industry and FINRA experts.
  • On Nov. 12 in Washington D.C., FINRA hosts a one-day event, the Senior Investor Protection Conference, dedicated to sharing the most up-to-date regulatory information, effective strategies, and solutions for protecting senior investors and vulnerable adults.
  • Registration is now open for the 2020 Annual Conference in Washington D.C. on May 12-14, 2020. Reduced rates are available for the first 100 in-person registrants before Oct. 4.

Financial Accounting Standards Board


FASB Supervising Project Manager Rick Cole

Justice Department

  • The Department of Justice will host a Lawful Access Summit on warrant-proof encryption and its impact on child exploitation cases on Oct. 4.

Office of the Comptroller of the Currency

The OCC’s Community Affairs Division sponsors roundtable discussions, listening sessions, and workshops about the role of banks in community development and effective strategies for revitalizing communities and encouraging community partnerships. Below are some upcoming CRA & Community Development events:

Securities and Exchange Commission


SEC Small Business Advocate Martha Miller

  • Martha Miller, Advocate for Small Business Capital Formation, will give the keynote presentation at the DC Metro Chapter of the National Veteran Small Business Coalition’s monthly meeting on Oct. 9. The event takes place in Arlington, Va. Contact Kelley Semple: ksemple@nvsbc.org.
  • Chairman Jay Clayton will be the keynote speaker at the 2019 Securities Enforcement Forum on Oct. 23. Enforcement Co-Director Steven Peikin and staff from the SEC’s Division of Enforcement will also participate in the event at the Mayflower Hotel in Washington, D.C. See agenda.