Location: Hybrid
Machine-Understandable Data in the Age of Super Intelligence (SI)
· 8:00 AM–3:30 PM EST
SEC panels examine market uses, risks and costs of super intelligence and machine-understandable data; a live webcast is available.
Regulatory Events
Calendar
Financial-services compliance, RegTech, and regulatory events.
Location: New York, NY
Treasury Clearing Documentation Training Seminar
· 2:00 PM–5:45 PM EST
Technical training walks through SIFMA's 2026 Done-Away Treasury clearing agreement, schedule, modules and implementation considerations.
Location: Online
FINOP Focus: Annual Reporting Requirements
· 2:00 PM–2:45 PM EST
FINRA's member-firm webinar addresses annual reporting requirements for FINOPs and compliance professionals.
Location: Online
Financial Intelligence Fusion Center (FIFC) for Small Firms
· 2:00 PM–3:00 PM EST
FINRA explains how small firms can access, act on and contribute threat intelligence through the FIFC.
Location: Online
Risk, rewritten: Rethinking the AML/CFT risk assessment
· 2:00 PM EST
Abrigo specialists discuss dynamic, defensible AML/CFT risk assessments and technology-enabled risk-based compliance programs.
Location: Online
US Tax Reporting & Withholding: Tax Technical, Trends, Technology, and Compliance Strategies
· 3:00 PM–4:00 PM UTC
S&P Global and KPMG discuss regulatory updates, technology and operational strategies for tax information reporting and withholding.
Location: Online
Always-On Markets, AI & Compliance
· 3:00 PM GMT
Practitioners discuss real-time surveillance, 23/5 markets and the governance and explainability of AI-driven compliance tools.
Location: Washington, DC
FINRA Certified Regulatory and Compliance Professional (CRCP) Program Week II: Capstone
–Nov 20
The advanced CRCP program covers securities regulation, supervision, cybersecurity and complex compliance challenges.
Schedules may change. Confirm details with the organizer.