2009 FINRA Annual Conference

May 6-8, 2009
The Westin Boston Waterfront Hotel
Boston, MA


   

Office Hours **New for 2009**

While at the conference, attendees have the opportunity to meet with a FINRA regulatory expert or their firm's Regional Director. FINRA's five Regional Directors are available—along with experts on advertising regulation, anti-money laundering, risk oversight and operational regulation, and registration and disclosure—to discuss your firm-specific questions and issues. Meetings are limited to 15 minutes per person. See the schedule below for times in which FINRA staff will be available for 15-minute meetings. You can make an appointment onsite at the Conference Registration Desk. 

 

FINRA Coordinators are available for walk-in appointments; an appointment is not necessary for these meetings.

 

Office Hours
Thursday, May 7 Friday, May 8

12:15 p.m. – 1:15 p.m.

  • West Regional Director
  • Financial & Operational Regulation
  • Registration & Disclosure

 

1:30 p.m. – 2:45 p.m.

  • South Regional Director
  • Boston District Office
  • Advertising Regulation

 

3:00 p.m. – 4:15 p.m.

  • Midwest Regional Director
  • AML Regulation
  • Registration & Disclosure

8:00 a.m. – 9:15 a.m.

  • New York Regional Director
  • AML Regulation
  • Boston District Office

 

9:30 a.m. – 10:45 a.m.

  • Northeast Regional Director
  • Financial & Operational Regulation
  • Advertising Regulation

 
Meet with FINRA staff about firm-specific issues during Office Hours.

 

 

CRCP Luncheon
Thursday, May 7
12:15 pm - 1:30 pm

 

Graduates, prospective graduates and all other conference attendees interested in the FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program are invited to attend a luncheon to meet and exchange ideas with CRCP participants and FINRA staff.

 

For more information or to RSVP for this event, email us or call (212) 858-4733.

 

Receive up to 13 hours of CLE Credits

Attorneys seeking CLE credit must complete and submit a CLE request form while at the conference. Applicants receive notification within 8 to 10 weeks. CLE credits

earned depend on the number of hours attended.

 

Note that while FINRA processes CLE applications on behalf of the applicant, it is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which they seek credit.

 

Receive up to 16 hours of CPE Credits

FINRA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417.Web site: www.nasba.org. CPE credits earned depend on the number of hours attended.

 

Receive up to 15 hours of CRCP CE Credits

Graduates of the FINRA Institute at CRCP program earn up to 15 CRCP continuing education credits, depending on the number of hours attended. For more information on the FINRA Institute at Wharton or the CRCP continuing education requirement, visit www.finra.org/institute.

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