2012 Annual Conference Banner


2013 FINRA Annual Conference

May 20 – 22, 2013

Washington, DC


12/13/12: The conference session descriptions published and registration for live broadcast opened. 


The Annual Conference is FINRA’s premiere event to hear about regulatory developments, FINRA priorities and practical guidance on compliance issues.


View the 2013 conference session descriptions.


Next year's event addresses the following topics among others:


  • Anti-Money Laundering
  • Branch Office Inspections
  • Business Continuity Planning
  • Consolidated Audit Trail (CAT) and Large Trader Reporting
  • Cyber Security
  • Enforcement Developments
  • Ethics for Securities Attorneys
  • Examinations
  • Financial and Operational Considerations
  • Fraud Prevention
  • JOBS Act
  • Municipal Securities
  • Outside Business Activities
  • Private Placements
  • Retail Sales of Complex Products
  • Small Firm Compliance Practices
  • Social Media and Communications With the Public
  • Suitability
  • Supervision
  • Technology Priorities for Broker-Dealers


Two Ways to Participate


  1. Attend in-person.
  2. Participate via live streaming broadcast streamed over the Internet. Online viewers receive access to all conference materials.


Registration & Fees

In-personFirst 100 Registrants
Before Oct. 1, 2012
Thru April 22, 2013After April 22, 2013


Group Rate
(Per Person)*


*Available for firms that simultaneously register three or more employees to attend the conference in person. We regret that group discounts cannot be applied retroactively. For more information, please call (202) 728-8131 or send us an email.


Live BroadcastFees
Single Viewer License  
Member (Small Firms)$100
Multi-Viewer License  
Member (Small Firms)$200
Attorney/ Non-Member$1,100


Member: employees of FINRA member firms; must provide a valid firm CRD number when registering for the conference.
Member (Small Firms): employees of FINRA member firms with 150 or fewer registered representatives; must provide a valid firm CRD number when registering for the conference.
Attorney: practicing lawyers who are employed by law firms, service providers or any other organization that is not a FINRA member firm; must provide a valid bar ID number when registering for the conference.
Government/Regulator: employees of state and federal government and regulatory agencies.
Non-Member: all others.


For more information or a copy of FINRA's Financial Hardship Policy, please call (800) 321-6273.


To register, click on the desired pricing option above to access the online registration form. Shortly after you complete the registration form, you will receive an email confirming your registration. Please make sure your registration has been confirmed prior to your arrival onsite at the conference. Online registration closes one day prior to the start of the program. Conference registration is limited and available on a first-come, first-served basis.
Annual Conference fees include receptions on Monday and Tuesday, continental breakfasts on Tuesday and Wednesday, lunches on Monday, Tuesday and Wednesday, refreshment breaks, attendance to all sessions and conference materials.


Free On-Demand Access Two Weeks After the Conference
All conference sessions will be available for on-demand viewing free of charge to all FINRA member firms and Certified Regulatory and Compliance Professional (CRCP) program participants two weeks after the live event.

Cancellation Policy

The special discounted rate for the first 100 registrants is non-refundable. For all other registration categories, a full refund—less a $100 processing fee—will be granted to written requests received 14 days or more prior to the start date of the program. We regret that refunds will not be granted after May 6, 2013.



The 2013 FINRA Annual Conference will take place at:


Renaissance Washington, DC Hotel
999 Ninth Street, NW
Washington, DC 20001
Phone: (202) 898-9000
Toll free: (800) 468-3571



Travel Information

FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.



Questions or Concerns


Become an Exhibitor