District 10 (New York) - District Compliance Meetings

Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.


DateEventLocation and VenueFeesRegistration

November 14, 2014

9 a.m. – 11 a.m.

Member Meeting

The New York Palace
455 Madison Avenue
New York, NY 10022



  • Susan Axelrod, Executive Vice President, Regulatory Operations, FINRA
  • Mike Rufino, Executive Vice President Office of Sales Practice, FINRA
  • Bill Wollman, Executive Vice President, Member Regulation—Risk Oversight and Operational Regulation (ROOR), FINRA
  • Chip Jones, Senior Vice President, Member Relations and Education, FINRA


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 Meeting, 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.



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


Questions: Contact Georgia Mantekas (212) 858-4178



District Office Contact: Georgia Mantekas (212) 858-4178.


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: 9/18/2014