District 9B (Woodbridge) - 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.
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December 4, 2013
4 – 6 p.m.
District Open House
Woodbridge District Office
Meet with members of the District staff to discuss current regulatory and compliance issues.
Registration and Information
District 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. On-site registrations are provided on a space-available basis and payment must be made by check.
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.
If you are no longer able to attend this event please send your cancellation request via email.
Questions: Contact Deb Smit at (732) 596-2027.
District Office Contact:
(732) 596-2027 Tel
(732) 596-2002 Fax
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.