Conferences & Events
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.
FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals.
Many of these educational offerings qualify for CPE and CLE credits.
District Preventive Compliance Events
Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.
CCOutreach Program
Co-sponsored by the SEC and FINRA, this program is intended to foster communication about compliance risks and effective compliance controls, with the goal of helping CCOs foster strong compliance programs within their firms
Phone-In Workshops
FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics.
May 6–8, 2009 • Boston, MA
May 26–28, 2009 • Baltimore, MD
FINRA has combined its Securities Conferences into a single annual event, and has expanded the program to address the complex business and operational challenges firms face in today’s regulatory landscape.
Small Firm Conference Series
Available in 2009
The FINRA Small Firm Conference series is designed to address regulatory requirements and compliance practices from a small firm perspective.
NY Regulation and Compliance Conference
Available in 2009 • New York, NY
FINRA's annual Regulation and Compliance Conference addresses regulatory requirements and compliance practices of firms with complex, multi-line businesses.
Advertising Regulation Conference
Available in 2009 • Washington, DC
FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with advertising rules and regulations.
Spring 2009
FINRA's annual Fixed Income Conference addresses regulatory requirements and compliance challenges for firms engaged in debt securities transactions.
View our Conferences and Classroom Learning by event date.
Questions or Comments? Contact Us
Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.
