The wealth management industry has many useful and worthwhile conferences, but advisors and professionals don’t have time to attend them all, which is why WSR publishes our annual Guide to Industry Conferences series, now in its fourth year.
Each installment is designed to help readers compare the key facts that matter most when deciding where to invest travel budgets and calendar days: dates, locations, who attends, core themes, ticket prices, notable speakers, sponsors and more. This installment covers compliance, governance and regulatory conferences, in keeping with our second quarter theme of highlighting service providers.
This installment focuses on four events: FINRA Annual Conference, ComplyConnect, FSI Advocacy Summit and FSI OneVoice. Together, they span the regulatory spectrum from broker-dealer supervision and enforcement trends to Capitol Hill advocacy, AI governance, cybersecurity, women in leadership and more.
FINRA Annual Conference
The 2026 FINRA Annual Conference runs from May 12 to 14 in Washington, with a virtual attendance option also available. The annual flagship event for FINRA is expected to include over 30 sessions, more than 2,000 participants, over 45 member-firm speakers, more than 300 FINRA staff onsite, more than 10 networking events and over 40 exhibitors.
The event is tailored for broker-dealer compliance professionals, firm executives, legal and risk personnel, regulators and other industry leaders looking for practical guidance on current regulatory and operational issues. Agenda topics include AI, compliant communications, cybersecurity, digital assets, examination preparation, financial crimes and rule modernization.
Program highlights include a keynote from CFTC Chairman Michael Selig, a session on AI and regulation and a dialogue between FINRA President and CEO Robert Cook and SEC Chairman Paul S. Atkins. Other sessions will address senior investor protection, liquidity risk, branch and remote supervision, books-and-records issues tied to digital communications and AML fundamentals.
Sponsors include Comply, Smarsh, Behavox, Global Relay, Proofpoint, Charles Schwab, MirrorWeb, Saifr and StarCompliance.
Individual in-person registration for the event costs $1,750 for members and $2,300 for non-members, while virtual passes cost $475 for members and $650 for non-members. Sessions are eligible for CFP and CRCP continuing education credit.
ComplyConnect Conference
Comply will host its 2026 ComplyConnect conference from November 8 to 11 at the Omni Nashville Hotel in Nashville, Tennessee. The event is aimed at compliance leaders across financial services and is framed as a regulatory-insight, innovation and accredited-education forum for firms dealing with a fast-changing oversight environment.
This year’s conference will emphasize ethics, enforcement priorities, AI governance and emerging technologies, with sessions expected to address SEC developments, AI acceptable-use standards, oversight frameworks, control documentation and technology tools that can help firms prepare for exams.
Registration is $1,660 for Investment Adviser Certified Compliance Professional (IACCP) designees and $2,075 for general attendees through July 15; $1,870 and $2,285 from July 16 through Sept. 1; and $2,080 and $2,490 from Sept. 2 through Nov. 7. Attendees can earn IACCP, MCLE, CPE and CFP continuing-education credits.
The 2025 conference included keynotes from Andy Fastow, former CFO of Enron, and Yvette Panetta, Vice President of Supervision at FINRA. Last year’s sessions covered cybersecurity, enforcement trends, custody, vendor due diligence, chief compliance officer liability, Regulation S-P, ethics, ERISA compliance, digital assets, off-channel communications and generative AI.
Last year’s sponsors included Broadridge, Chicago Clearing Corporation, Egnyte, Schwab Designated Brokerage Services, Smarsh and Travelers.Top of Form
FSI Advocacy Summit
The Financial Services Institute’s (FSI) Advocacy Summit 2026 will be held June 8 to 10 at the Westin DC Downtown in Washington. Formerly known as FSI Forum & Capitol Hill Day, the event is designed for financial advisors, FSI firm members and sponsors who want direct exposure to policy and legislative developments affecting independent financial services. Its structure is distinct from a traditional conference: Attendees move from education and policy discussion into Capitol Hill meetings.
Speakers will include FSI President and CEO Dale Brown, North American Securities Administrators Association (NASAA) President-Elect Elizabeth Bowling, consultant and former federal official Bruce Mehlman, and Kathleen Burns Kingsbury, Founder of KBK Wealth Connection. Session topics will include advocacy training for first-time participants, a conversation on regulatory priorities, Capitol Hill relationship-building and small-group, sponsor-led discussions on industry challenges.
Registration costs $549 for FSI financial advisor members and $1,099 for FSI firm member employees and additional sponsors. The summit’s optional “Advancing Women in Leadership” workshop carries a separate fee of $125. Sponsors include Advisor360°, AssetMark, Envestnet, Fidelity Investments, SEI, Ashar Group, FactRight and Insperity.
FSI OneVoice
FSI will also host its flagship OneVoice 2027 in Tampa, Florida, from Feb. 1 to 3. Details for 2027 are not currently available.
OneVoice 2026 was held at the Sheraton San Diego Resort in San Diego from Feb. 2 to 4. FSI OneVoice is an annual in-person conference for executives at independent financial services firms.
The 2026 program focused on how firm leaders are responding to changes in regulation, technology and growth strategy. Tracks and discussions covered AI, cybersecurity, risk management, supervisory challenges, investor behavior, recruiting and retention, practice management and evolving regulatory priorities.
Speakers included David Bellaire, Executive Vice President and General Counsel at the Financial Services Institute; Brett Baker, Head of Field Supervision at Osaic; and Robert Coppola, Chief Technology Officer at Sanctuary Wealth.
Registration for FSI firm members was $1,099 for early bird pricing and $1,699 afterwards, while optional workshops on women’s leadership, AI and cybersecurity were priced at $149 each for members.
Sponsors included Jump, ThinkAdvisor, WealthCounsel, Zocks, Praxis Solutions, Financial Planning, RightBRIDGE, Ascentix, Domify, Fidelity Investments and Capital Group.
Thomas Lee, a Senior Editor and Staff Writer for Wealth Solutions Report, can be reached at thomas.lee@wealthsolutionsreport.com.
