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.
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.
AI Governance & Oversight in Practice
Moving from policy to practice as AI reshapes business operations
Prediction Markets: Licensing, Personal Trading, Conflicts & Emerging Risks
Getting ahead of a fast-moving asset class before it outpaces your controls
Trade Surveillance & Unusual Trading Activity
Sharpening detection in an increasingly complex market structure and emerging asset classes
Tokenized Securities & the Evolving Digital Asset Landscape
Navigating custody, clearing, and compliance as the regulatory landscape evolves.
Regulatory Engagement: FINRA/SEC Priorities & Exam Readiness
Direct insight into what examiners are focused on now
Speaker Biographies
Michael Oxley
Apex Fintech Brokerage Solutions
Chief Compliance Officer
Apex Clearing Corporation
Deputy Chief Compliance Officer
Link to Bio
Mark Your Calendar
Dates
Tuesday, September 22 – Thursday, September 24, 2026
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 (Kathy Inglot, Bruce Markets)
1:00 PM – Tokenized Securities & Digital Assets (Travis McGhee and Andrew Tourney)
2:00 PM – Prediction Markets / Surveillance Panel featuring Rob Cope (Trillium Surveyor), Brian Poronsky (Katten), Bryce Harris (Apex) (moderated by Justin Morgan)
3:30 PM – Break
3:45 PM – Regulatory Hurdles: Domestic Reporting & Cross-Border Risk (Michael Oxley)
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.