2014 FINRA Annual Conference
May 19 – 21, 2014
Renaissance Washington, DC Hotel >
FINRA's Annual Conference provides securities industry practitioners with guidance on regulatory priorities and compliance solutions.
The 2014 conference agenda includes the following sessions among others:
FINRA will publish the full 2014 conference agenda in January 2014.
Two Ways to Participate
|First 100 Registrants
Before October 1, 2013
|Thru April 21, 2014||After April 21, 2014|
Register for the 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 email.
|Single-Viewer License Fees||Multi-Viewer License Fees|
|Member (Small Firms)||$100||$200|
Member: employees of FINRA member firms; 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 Monday, Tuesday and Wednesday, lunches on Monday, Tuesday and Wednesday, refreshment breaks, attendance to all sessions and conference materials.
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 5, 2014.
The 2014 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
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.
Upon completion of the conference, participants may be eligible to receive continuing education credits.
For inquiries regarding continuing education credits, please email FINRA Education.
In-person attendance: Conference attendees may receive up to 12 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.
In-person attendance: Conference attendees may receive up to 12 CPE 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.
Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program may receive up to 12 CRCP CE credits for attending the conference either in person or via live broadcast. Alumni should self-report their credits upon conclusion of the conference by filling out the online form.
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.