District 8 (Chicago) - 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
March 6, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	Chicago Marriott Oak Brook 1401 West 22nd Street Oak Brook, IL 60523	$60	Register
March 13, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	The Westin Indianapolis 50 S. Capitol Avenue Indianapolis, IN 46204	$60	Register
April 25, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	The Pfister Hotel 424 East Wisconsin Ave. Milwaukee, WI 53202	$60	Register
June 27, 2012 9 a.m. – 12 p.m.	District Compliance Meeting   Topics	Kingsgate Marriott Conference Center at the University of Cincinnati 151 Goodman Drive Cincinnati, OH 45219	$60	Register

 

Topics for Discussion
March 6, 2012 Investment Company Regulatory Update Enforcement Hot Topics Examination Program Update
March 13, 2012 New Products / Due Diligence Examination Priorities and Common Findings Regulatory Update
April 25, 2012 Communication with the Public Social Media Advertising Rule Update Electronic Storage/Emails Branch Office Examination Program
June 27, 2012 Regulatory Update Fixed Income Regulation Update Branch Office Examination Program

 

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.

 

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 Karen Martin  (312) 899-4311.

 

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District Office Contact: Karen Martin  (312) 899-4311

 

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.

 

• 2012 Chicago District Event Schedule