Financial advisors and industry professionals have a broad selection of conferences to choose from each year, but with limited time and resources most people find it’s only possible to attend a fraction of the available conferences. WSR publishes our Guide to Industry Conferences series to provide you with the fundamental information about where and when key events happen, who attends and why.
This compliance, governance and regulatory installment is our third annual review of conferences in this key space in the wealth management industry. We cover the FINRA Annual Conference, the ComplyConnect Conference & Expo, the MarketCounsel Summit, and FSI’s Forum & Capitol Hill Day and OneVoice.
FINRA Annual Conference
The Financial Industry Regulatory Authority (FINRA) says its Annual Conference is its “premier event,” providing “opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.” For 2025, the conference will be held in Washington, D.C., from May 13 to 15.
FINRA states that topics at the conference include “regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections.”
Registration for individuals currently costs $1,700 for FINRA members, $600 for small-firm FINRA members, $2,300 for non-members and $1,975 for trade associations. Group rates and virtual attendance rates are also available.
Last year, Rep. French Hill, who at the time was Vice Chairman of the House Financial Services Committee, held a fireside chat with attendees. Haoxiang Zhu, who at the time was Director, Division of Trading and Markets at the SEC, held a separate fireside chat.
Attendees last year had the opportunity to meet with FINRA staff from multiple departments in its Innovation, Demonstration and Engagement Area to “engage on topics of interest, get answers to your questions, provide feedback and gather information and resources.”
Exhibitors included Smarsh, Benavox, FirmScribe, Global Relay, Schwab, Orion, Hilltop Securities and others.
ComplyConnect Conference & Expo
COMPLY’s annual ComplyConnect Conference & Expo will be held at the Eden Roc Miami Beach Resort on Oct. 14 to 16, with pre-conference events on Oct. 13. COMPLY says the conference covers the “latest news and trends shaping compliance, risk and governance.”
The event was launched in 2022 by ComplySci, a continuation of NRS’s annual conference. NRS was acquired by ComplySci in 2021 and the COMPLY umbrella firm was launched in November 2022 with ComplySci and NRS as subsidiaries.
Keynote speakers from 2024 included Marshall Gandy, Investment Adviser/Investment Company Program Director at the SEC, who spoke on “An Empowered CCO,” and Owen Donley, Chief Counsel, Office of Investor Education and Advocacy at the SEC, who spoke on “Educating and Protecting Retail Investors.”
Last year’s conference had over 250 attendees and 50 speakers. Sponsors included
Advyzon, Broadridge, Capital Rock, Charles Schwab, Chicago Clearing Corporation, COMPLY, Egnyte, InvestorCOM, Mission Cloud, MorningStar and Travelers.
An early bird registration rate of $1,795 is available through June 30. Pre-conference workshops on Oct. 13 cost an additional $295.
MarketCounsel Summit
Brian Hamburger’s MarketCounsel hosts its annual invitation-only MarketCounsel Summit in Las Vegas in early December of each year. According to the firm, it is a forum for debate, dialogue and conversation among industry leadership and brings together over 400 attendees.
An invitation must be requested to attend. MarketCounsel explains: “To maintain an arena that fosters free dialogue, we strictly limit attendees to C-suite executives of RIAs; RIAs that have demonstrated fast growth, innovation, or thought leadership; and entrepreneurs that are stewards of our industry.”
The Summit doesn’t include breakout sessions – all sessions are on the main stage. Last year’s sessions included “What’s Next: Examining the Future of WealthTech From a Trailblazer’s New Perspective,” “Niche Advice: Using Targeted Financial Advice to Enable Growth Opportunities,” and “Regulation: Prioritizing Simultaneous Business and Regulatory Revolutions.”
Aside from Hamburger and other MarketCounsel staff, speakers included Brian McLaughlin, who is a Board Member for Orion Advisor Technology; Jeff Vivacqua, President, Growth and Development for Cambridge Investment Research; and Tim Oden, Chief Growth Officer at Dynasty Financial Partners.
Last year’s tickets cost $2,500.
FSI Forum & Capitol Hill Day / FSI OneVoice
Each year, the Financial Services Institute (FSI) hosts two large events: FSI Forum & Capitol Hill Day and FSI OneVoice.
This year’s Forum & Capitol Hill Day will be held May 19 to 21 at the Washington Marriott at Metro Center, and the 2026 OneVoice event will be at the Sheraton San Diego Hotel & Marina from Feb. 2 to 4.
The Forum & Capitol Hill Day includes opportunities to meet with legislators on May 21, as well as a training session for those new to advocacy. Jeff Bush, Principal of The Washington Update, will speak in a general session. FSI’s President and CEO, Dale Brown, and FINRA’s President and CEO, Robert W. Cook, will hold a fireside chat in a general session. Rep. Aaron Bean will hold a separate fireside chat with Brown.
Registration for Forum & Capitol Hill Day costs $1,099 for FSI firm members’ employees and $549 for FSI financial advisor members. The Advancing Women in Leadership Workshop, led by author and speaker Velera Wilson, costs an additional $125.
FSI says that its OneVoice conference “is the annual in-person gathering for independent financial services firm executives. Education and networking sessions are specifically designed for CEOs, senior executives, managers and employees of independent financial services firms.”
This year’s OneVoice concluded in January. Early bird fees were $1,099 for FSI firm members, while onsite registrants paid $1,699. Non-member tickets cost $5,000. The Advancing Women in Leadership Workshop cost $149 and $250 for members and non-members, respectively.
OneVoice 2025 sponsors included Fidelity, BNY Pershing, Advisor 360°, AssetMark, Envestnet, SEI and Broadridge. WSR was among the media sponsors. Speakers included Brown; FSI Board of Directors Chair Tim Stinson, who is also President of Cetera Advisors Network; and futurist and change navigator April Rinne, who gave a keynote on “Finding Certainty in an Uncertain World.”
WSR’s CEO Larry Roth also spoke on a panel titled “Beyond Retirement: Life After Wealth Management.”
Janeesa Hollingshead, Contributing Editor at Wealth Solutions Report, can be reached at editor@wealthsolutionsreport.com.
