District 7 (Atlanta) - District Compliance Meetings

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.

 

Date	Event	Location and Venue	Fees	Registration
April 10, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	Piedmont Center (Bldg. 14), 3535 Piedmont Road Atlanta, GA 30305	$60	Register
May 10, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	Charlotte Convention Center (Rooms 201AB/202AB) 501 South College Street Charlotte, NC 28202	$60	Register
May 11, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	Sheraton Raleigh Hotel (Capital Room) 421 South Salisbury St. Raleigh, NC 27601	$60	Register

 

 

Topics for Discussion
April 10, 2012 Topics will be posted approximately two months before the program
May 10, 2012 Topics will be posted approximately two months before the program
May 11, 2012 Topics will be posted approximately two months before the program

 

More 2012 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.

 

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 Policy
Full refunds for registration will be granted to written requests received 7 days or more prior to the start date of the program. Please send your refund request via email.

 

Questions: Contact Paula Bivins-Johnson at (404) 239-6117.

 

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District Office Contact: Paula Bivins-Johnson at (404) 239-6117.

 

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.