Good morning and welcome to FINRA’s Annual Conference, this year is notable in several ways, including the quality of the program and roster of speakers and attendees. Each year when we come together for this conference, we discuss and debate top regulatory concerns, as well as a range of issues affecting our industry, with the overarching goal of continuously supporting and refining compliance in financial services. One of the most significant developments this year in our collective mission is the evolving fiduciary landscape and what it means for how firms deliver retirement-savings advice. Wherever you stand on the wisdom of DOL’s rule, the fiduciary evolution in many ways gets to the heart of how firms interact with clients—the delivery of products and services that defines the essential qualities of a firm—its motivations and priorities. In a word: culture.
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