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Agenda, Sessions, Office Hours, CLE and CPE Credit, and Exhibitors 

Join securities industry practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics.





The 2014 FINRA Conference will take place at the Renaissance Washington, DC Downtown Hotel.


Recent Conference Updates
  • All conference session descriptions and a list of confirmed speakers, as of April 3 are available in our updated brochure.
  • We've also detailed the various networking events and opportunities to meet with FINRA committee members and staff.



Conference Sessions

View detailed descriptions for this year's conference sessions.

  • AML: Monitoring for Suspicious Activity (Medium and Large Firm Focus)
  • Anti-Money Laundering (Small Firm Focus)
  • Arbitration, Expungement and Arbitrator Disclosure
  • Ask FINRA Senior Staff
  • Bond Market Structure and Trading
  • Business Continuity Planning (Small Firm Focus)
  • Common Examination Findings and Compliance Practices (Small Firm Focus)
  • Communications With the Public: Issues and Trends
  • Compliance and Legal Trends
  • Cyber Security Threats and Loss Prevention Practices
  • Discussion on Retrospective Rule Review and Cost Benefit Analysis
  • Effective Risk-Based Examinations (Small Firm Focus)
  • Emerging Technology Topics (Small Firm Focus)
  • Enforcement Developments
  • Ethics and Professional Responsibility for Securities Attorneys
  • Financial and Operational Considerations
  • Fraud Detection and Prevention
  • Global Regulatory Landscape
  • Handling Outside Business Activities (Small Firm Focus)
  • Insider Trading: Internal Controls for Prevention
  • JOBS Act Updates
  • Managing Conflicts of Interest
  • Managing OBAs and Private Securities Transactions (Medium and Large Firm Focus)
  • Market Regulation Priorities
  • Navigating the Introducing-Clearing Firm Relationship (Small Firm Focus)
  • Product Due Diligence
  • Reporting Requirements
  • Risk Management Practices
  • Senior Investor Issues
  • Social Media, Digital Communications and Compliance
  • Suitability (Small Firm Focus)
  • Supervision
  • Top Ten Regulatory Considerations
  • Variable Annuities


Don't miss a session: In-person and online participants receive access to recordings of all sessions on-demand for free after the conference. So if there are two simultaneous sessions of interest to you, you can attend one and listen to the other one later.


Networking Events

Connect with FINRA committee members and FINRA staff during our networking events.


CRCP Luncheon

Graduates, candidates and those interested in learning more about the FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program are invited to attend a complimentary lunch on Tuesday, May 20, 2014, from 11:45 a.m. – 1 p.m. Hear from Jill Fisch, CRCP Program Academic Co-Director, who will discuss emerging issues in securities law and the value of the CRCP program. You'll also enjoy informal conversations with CRCP alumni, current participants and those interested in the program. Register for the luncheon by May 16. Learn more about the CRCP program.


Office Hours

Several FINRA staff members will be available for 15-minute, one-on-one appointments to answer questions and discuss firm-specific issues regarding:


  • Advertising regulation
  • Anti-money laundering
  • Financial responsibility rules
  • Fixed income
  • Market Regulation
  • Member Regulation
  • Qualifications, exams and continuing education


Sign up for an appointment onsite at the Conference Registration Desk.



View the full list of conference exhibitors.


To inquire about exhibitor opportunities:


Continuing Education Credit

Upon completion of the conference, participants may be eligible to receive continuing education credits.


For inquiries regarding continuing education credits, please email FINRA Education.


CLE Credit

In-person attendance: Conference attendees may receive up to 12 CLE credits—including up to 1.25 Ethics CLE credits—depending upon the number of hours and sessions attended, as well as the state issuing credit and MCLE jurisdiction. Attorneys seeking CLE credit must complete and submit a CLE/CPE Credit Request Form at the conference.


Live video broadcast: CLE credit is not available for the live broadcast or on-demand recordings.


CPE Credit

In-person attendance: Conference attendees may receive up to 12 CPE credits—including 1.5 Ethics credits—depending upon the number of hours and sessions attended. This is a live group event. The program level is “overview” and there are no prerequisites or advanced preparation required.


Live video broadcast: CPE credit is not available for the live broadcast or on-demand recordings.


CRCP CE Credit

Graduates of the FINRA Institute at Wharton CRCP program may earn up to 12 CRCP CE 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/crcp/ce.



CPE weblogo

FINRA and West Professional Development are registered with the National Association of State Boards of Accountancy (NASBA) as sponsors 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 submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.