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.

 

DateEventLocation and VenueFeesRegistration

April 23, 2014

8:30 a.m. – 10:30 a.m.

District Compliance Meeting

 

 

The India House
(Marine Room)
1 Hanover Square
New York, NY 10004

Free

Register

Topics:
  • FINRA membership process overview
    • Tips on preparing for and submitting continuing membership applications
    • Tips on preparing for and submitting materiality consultations
    • Common issues and how to avoid certain delays
DateEventLocation and VenueFeesRegistration

June 11, 2014

8:30 a.m. – 10:30 a.m.

District Compliance Meeting

 

 

The India House
(Marine Room)
1 Hanover Square
New York, NY 10004

Free

Register

Topics will be posted a month before the program.

DateEventLocation and VenueFeesRegistration

September 17, 2014

8:30 a.m. – 10:30 a.m.

District Compliance Meeting

 

 

The India House
(Marine Room)
1 Hanover Square
New York, NY 10004

Free

Register

Topics will be posted a month before the program.

DateEventLocation and VenueFeesRegistration

November 19, 2014

8:30 a.m. – 10:30 a.m.

District Compliance Meeting

 

 

The India House
(Marine Room)
1 Hanover Square
New York, NY 10004

Free

Register

Topics will be posted a month before the program.

 

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. 

 

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.

 

Cancellation

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: 3/19/2014