South Region Compliance Seminar

November 20 – 21, 2014
Fort Lauderdale, FL
Harbor Beach Marriott

 

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The FINRA South Region Compliance Seminar provides compliance and legal professionals an opportunity to discuss important regulatory and compliance issues and solutions with industry peers and regulators. Throughout the event, FINRA staff from the Atlanta, Boca Raton, Dallas and New Orleans District Offices, and from Washington, D.C., are available to discuss matters of interest with you.

 

Download the seminar brochure for a full agenda and session descriptions. Speaker list is coming soon.

 

Location

Harbor Beach Marriott
3030 Holiday Drive
Fort Lauderdale, FL 33316
(800) 222-6543

 

Registration and Fees

Registration TypeBefore October 20After October 20

FINRA Member Firm

$345

$370

Non-Member (Attorney)

$480

$515

Non-Member (Consultant)

$480

$515

 

Register online.

 

Group rates are available for firms that simultaneously register three or more employees to attend the seminar. For more information, please call (202) 728-8131 or email.

  

Seminar fees include attendance to all sessions and conference materials, lunch and a reception on Thursday, continental breakfast on Friday and refreshment breaks.

 

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. Registrations without payment are considered incomplete.

 

You will receive an email confirmation of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

 

FINRA suggests that you do not purchase restricted or nonrefundable airline tickets for travel to the conference, especially prior to the 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 date and/or location become necessary.

 

Refunds

Full refunds for registration, less a $25 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after November 6, 2014.

 

Accommodations

A limited number of sleeping rooms are available at the Harbor Beach Marriott at the seminar rate of $199 plus tax per night. This rate is available until October 20 or until the room block is sold out, whichever comes first.

 

Hotel reservations, cancellations and charges are the attendee's responsibility. Book your hotel room online or call (800) 222-6543 and identify yourself as an attendee of the 2014 FINRA South Region Compliance Seminar.

 

CRCP CE Credit

Information about the continuing education credit for which the seminar is eligible for FINRA Institute at Wharton CRCP designees is coming soon.

 

More Information

For questions about the conference content, contact Debra Jastredowski via email. For questions about registration, contact Sherri Freeman via email or (202) 728-8131.

Last Updated: 6/18/2014