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. For more information including discussion topics, see the individual program descriptions below.
| Date | Event | Location and Venue | Fees | Registration |
|---|---|---|---|---|
May 30, 2013 8:15 a.m. – 10:15 a.m. | District Compliance Meeting
| Bayard's 1 Hanover Square New York, NY 10004 | Free | This event has reached capacity. |
Topics for Discussion: District 10 regulatory coordinators will be available during breakfast to meet with attendees from their assigned firms. A representative from FINRA’s Member Relations Department will discuss the following topics:
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June 26, 2013 8:15 a.m. – 10:15 a.m. | District Compliance Meeting
| Bayard's 1 Hanover Square New York, NY 10004 | Free | Register |
Topics for Discussion: A representative from FINRA's Emerging Regulatory Issues Department will be discussing the following topics:
| ||||
September 25, 2013 8:15 a.m. – 10:15 a.m. | District Compliance Meeting
| Bayard's 1 Hanover Square New York, NY 10004 | Free | Register |
Topics for Discussion: Topics will be posted two months before the program. | ||||
November 13, 2013 8:15 a.m. – 10:15 a.m. | District Compliance Meeting
| Bayard's 1 Hanover Square New York, NY 10004 | Free | Register |
Topics for Discussion: Topics will be posted 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 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.
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
If you are no longer able to attend this event please send your cancellation request via email.
Questions: Contact Rosalie Tardi (212) 858-4178
District Office Contact: Rosalie Tardi (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.