District 5 (New Orleans) - District Compliance Events

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

 

DateEventLocation and VenueFeesRegistration

September 10, 2014
9 a.m. – 11:30 a.m.

District Compliance Meeting

Crescent Club
6075 Poplar Ave
Memphis, TN 38119

Free

Register

Topics:

  • 2014 Examination Priorities
  • Our Cycle and Branch Exam Programs
  • Common Examination Findings
  • New Rules
  • Case Studies

November 20 – 21, 2014

South Region Compliance Seminar

Harbor Beach Marriott
3030 Holiday Drive
Fort Lauderdale, FL 33316
(888) 789-3090

 

View More
Information
and Register

 

More District events are being added on a regular basis. Check this page frequently for additional programs and other program updates.

 

 

Registration and Information

District Compliance Events are open only to employees of FINRA member firms. Participants must provide their firm's broker-dealer number when registering. To register for a District Compliance Event, use the appropriate registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program.

 

These meetings are well attended and there is usually a waiting list. Please cancel your registration in advance if your plans change so we can provide your place to someone else and to help avoid unnecessary costs.

 

 

Registration Confirmation:

You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

 

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

 

 

Cancellation

If you are no longer able to attend this event please send a cancellation request via email.

 

Questions: Contact Cheryl Krakowski (504) 522-6527.

 


 

District Office Contact: Brian Hartmann at (504) 412-2403 or Cheryl Krakowski at (504) 522-6527.

 

Only FINRA's Annual Conference is open to journalists. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton, District Compliance Events and webinars are closed to journalists.

Last Updated: 8/6/2014