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.
Events
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
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.
Online Workshops
Compliance Education Delivered Directly to Your Desktop. Upcoming events:
Anti-Money Laundering: Suspicious Activity Reporting
View Archived Events
Conferences
Advertising Regulation Conference
October 2-3, 2008 • Washington, DC
FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with advertising rules and regulations.
Securities Conferences—Spring and Fall
October 22–24, 2008 • Carlsbad, CA
May 6–8, 2009 • Boston, MA
May 26–28, 2010 • Baltimore, MD
FINRA's annual Fall and Spring Securities Conferences provide comprehensive updates on securities industry rules, regulations and compliance issues.
The Regulatory Roundtable on Aging Investors was recorded at the 2007 FINRA Fall Securities Conference. The program runs 75 minutes in length.
Small Firm Conference Series
June 19, 2008 • Dallas, TX
September 23, 2008 • Chicago, IL
The FINRA Small Firm Conference series is designed to address regulatory requirements and compliance practices from a small firm perspective.
Regulation and Compliance Conference
September 9, 2008 • New York, NY
FINRA's annual Regulation and Compliance Conference addresses regulatory requirements and compliance practices of firms with complex, multi-line businesses.
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.
