District 9A (Philadelphia) - 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 information below.

 

Date	Event	Location and Venue	Fees	Registration
March 6, 2012 8:30 a.m. – 10:30 a.m.	District Compliance Meeting   Topics	Philadelphia District Office 1835 Market St., Ste. 1900 Philadelphia, PA 19103	$60	Register
October 10, 2012 8 a.m. – 12 p.m.	Half-Day Compliance Boot Camp	Philadelphia District Office 1835 Market St., Ste. 1900 Philadelphia, PA 19103	$195	View More Information and Register
December 12, 2012 9 a.m. – 10:30 a.m.	District Compliance Meeting   Topics	FINRA DC Headquarters Visitors Center 1735 K Street NW Washington DC 20006	$60	Register

 

 

Topics for Discussion
March 6, 2011 Outside business activities Private securities transactions Branch office examinations and audits New rules and regulatory reform issues FINRA compliance resources
December 12, 2011 Topics will be posted approximately two months before the 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 Susan Gage at (215) 963-1979.

 

There are no events scheduled at this time.

 

 

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District Office Contact:

Jessica Washington

(215) 665-1180

 

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.