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September 22-24, 2026 | Austin, TX

5th Annual
BD CCO Roundtable

Two days of candid peer discussions, actionable strategies, and practical solutions to help you scale and stay ahead of regulatory priorities.

Register Here

Built for Compliance Leaders, By Compliance Leaders

For five years, the Apex Broker-Dealer CCO Roundtable has brought together compliance leaders for candid, unfiltered conversations with peers who truly understand the challenges shaping our industry today. This year, we’re taking that conversation to Austin.

What to Expect

What to Expect

Here’s a preview of what’s on the table. Two full days of peer-driven discussion and actionable takeaways — plus an evening welcome reception to kick things off. Details on the welcome outing are coming soon.

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AI Governance & Oversight in Practice

Moving from policy to practice as AI reshapes business operations

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Prediction Markets: Licensing, Personal Trading, Conflicts & Emerging Risks

Getting ahead of a fast-moving asset class before it outpaces your controls

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Trade Surveillance & Unusual Trading Activity

Sharpening detection in an increasingly complex market structure and emerging asset classes

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Tokenized Securities & the Evolving Digital Asset Landscape

Navigating custody, clearing, and compliance as the regulatory landscape evolves.

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Regulatory Engagement: FINRA/SEC Priorities & Exam Readiness

Direct insight into what examiners are focused on now

Guest Speakers

Kayte Toczylowski

Kayte Toczylowski
FINRA
Vice President
Member Relations and Education

Link to Bio

Susan light

Susan Light
Katten Muchin Rosenman LLP
Partner and Co-Chair
Broker-Dealer Regulation

Link to Bio

Brian Poronsky

Brian Poronsky
Katten Muchin Rosenman LLP
Partner

Link to Bio

Rob Cope

Rob Cope
Trillium Surveyor
Director of Markets and Operations Strategy

Link to Bio

Lisa Balter Saacks

Lisa Balter Saacks
Trillium Surveyor
President

Link to Bio

Mark Your Calendar

Dates

Tuesday, September 22 – Thursday, September 24, 2026

Schedule

Tentative Agenda

Tuesday, September 22
5:00 PM – Welcome Reception aboard a private boat cruise, sponsored by Katten Muchin Rosenman

Wednesday, September 23
8:00 AM – Breakfast & Networking
8:30 AM – Opening Remarks & Introductions
9:00 AM – Regulatory Update (Susan Light, Katten)
10:30 AM – AI Compliance Workshop (moderated by Michael Oxley)
12:00 PM – Lunch
12:30 PM – Overnight Market Update
1:00 PM – Tokenized Securities & Digital Assets
2:00 PM – Prediction Markets / Surveillance Panel (featuring Rob Cope, Trillium Surveyor, and Brian Poronsky, Katten)
3:30 PM – 4:30 PM – Break
4:30 PM – Surveillance Technology Demo, incl. Best Execution (Trillium Surveyor)
5:00 PM – Evening Reception, sponsored by Trillium Surveyor

Thursday, September 24
8:30 AM – Breakfast
9:00 AM – Keynote: Kayte Toczylowski, SVP, FINRA (moderated by Andrew Tourney)
10:30 AM – Virtual Session: Apex Product Updates
12:00 PM – Wrap-Up / Sendoff Lunch

Location

Apex Fintech Solutions 2010 E 6th St, Austin, TX

Thank You to Our Sponsors

Join us in Austin

Secure your spot to join the conversation with compliance leaders. Space is limited and reserved for Chief Compliance Officer, AML Compliance Officers, or senior leaders only.

Register Now