Join securities industry practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics.
A list of confirmed speakers as of April 22 is now available in the conference brochure.
We've also detailed networking events and opportunities to meet with FINRA committee members and staff.
View a video message from FINRA Chairman and CEO Rick Ketchum to learn more about the conference.
View detailed descriptions for this year's conference sessions.
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.
Connect with industry peers and regulators during our networking events and roundtables.
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 21, 2012, from 11:30 a.m. – 1 p.m. Hear from David Wessels, Assistant Professor of Finance at the Wharton School, network with CRCP participants and meet FINRA staff.
Several FINRA staff members will be available for 15-minute, one-on-one appointments to answer questions and discuss firm-specific issues regarding:
Sign up for an appointment onsite at the Conference Registration Desk.
View the full list of conference exhibitors.
To inquire about exhibitor opportunities:
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 13.5 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.
In-person attendance: Conference attendees may receive up to 17.5 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.
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.
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.