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2014 FINRA Annual Conference

May 19 – 21, 2014

Washington, DC
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:

  • AML: Monitoring for Suspicious Activity
  • 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
  • Cyber Security Threats and Loss Prevention Practices
  • Effective Risk-Based Audits (Small Firm Focus)
  • Enforcement Developments
  • Ethics and Professional Responsibility for Securities Attorneys
  • Financial and Operational Considerations
  • Fraud Detection and Prevention
  • Insider Trading: Internal Controls for Prevention
  • JOBS Act Updates
  • Managing Conflicts of Interest
  • Managing OBAs and Private Securities Transactions
  • Managing Outside Business Activities (Small Firm Focus)
  • Market Regulation Priorities
  • Navigating the Introducing-Clearing Firm Relationship (Small Firm Focus)
  • Outside Business Activities
  • Product Due Diligence
  • Reporting Requirements: Maintaining U4s
  • Risk Management Practices
  • Senior Investor Issues
  • Social Media, Digital Communications and Compliance
  • Suitability (Small Firm Focus)
  • Suitability: Documenting and Supervising Recommendations
  • Supervision
  • Technology Best Practices (Small Firm Focus)

FINRA will publish the full 2014 conference agenda in January 2014.


Two Ways to Participate


  1. Attend in-person
  2. Participate via live video broadcast. Online viewers receive access to all conference materials.


Registration & Fees


Register for In-Person >

First 100 Registrants
Before October 1, 2013
Thru April 21, 2014 After April 21, 2014
Member $795 $1,395 $1,595
Attorney $1,095 $1,695 $1,895
Government/Regulator $795 $995 $1,195
Non-Member $1,395 $1,995 $2,195


Register for the Group Rate (Per Person)*

Member $795 $1,180 $1,340
Attorney $1,095 $1,440 $1,610
Non-Member $1,395 $1,690 $1,860


*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.


Register for the Live Broadcast >

Single-Viewer License Fees Multi-Viewer License Fees
Member (Small Firms) $100 $200
Member $200 $400
Government/Regulator $200 $400
Attorney/Non-Member $700 $1,100


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.


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 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


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.


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-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-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 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.


Questions or Concerns


CPE Web LogoFINRA 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: