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Fixed Income Conference
Tuesday, March 11, 2014
New York, NY

 

2/5/14: Recent Conference Updates

  • Susan Axelrod, Executive Vice President of FINRA's Office of Regulatory Operations, will deliver the keynote address.
  • An updated list of speakers is now available in the online brochure.

 

FINRA's annual Fixed Income Conference addresses current impacts on the fixed income markets and how regulators and firms are responding.

 

View the conference agenda and session descriptions.

 

Two Ways to Participate

  1. Attend in-person.
  2. Participate via live streaming broadcast streamed over the Internet.

 

Registration & Fees

In-personThru Feb 24After Feb 24
Member$745$895
Non-Member$1,125$1,275
Government/Regulator$560$670
Group Rate (Per Person)*  
Member$630$760
Non-Member$950$1,080

 

*Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instructions in registration system.

 

Live BroadcastThru Feb 24After Feb 24
Single Viewer License  
Member (Small Firms)$100$100
Member$200$200
Non-member$700$700
Government/Regulator$200$200
Multi-Viewer License  
Member (Small Firms)$200$200
Member$400$400
Non-member$1,100$1,100
Government/Regulator$400$400

 

Member: employees of FINRA member firms; must provide a valid firm CRD number when registering for the conference.

Member (Small Firms): employees of FINRA member firms with 150 or fewer registered representatives; must provide a valid firm CRD number when registering for the conference.

Attorney: practicing lawyers who are employed by law firms, service providers or any other organization that is not a FINRA member firm; must provide a valid bar ID number when registering for the conference.

Government/Regulator: employees of state and federal government and regulatory agencies.

Non-Member: all others.

 

How to Register

To register, complete an online registration form—accessible from the fees section above—using your credit card. Online registration closes one day prior to the start of the program. If you experience difficulties registering, please call (202) 728-8131 or send us an email.

 

Conference registration is limited and available on a first-come, first-served basis.

 

You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

 

FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conferences sell out or in the unlikely event that changes to the conference dates and/or locations become necessary.

 

Continuing Education Credit

CRCP CE

Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program may receive 6 CRCP CE credits for attending the conference either in person or via live broadcast. Alumni should self-report their credits upon conclusion of the conference by filling out the online form.

 

Cancellation Policy

Full refunds for registration, less a $100 processing fee for in-person participants and less a $25 processing fee for live broadcast participants, will be granted to written requests received 14 days or more prior to the start date of the program. No refunds will be granted after February 25, 2014.

 

Location Information

FINRA Fixed Income Conference will take place at:
Crowne Plaza Times Square Manhattan Hotel
1605 Broadway
New York, NY 10019
Phone: (212) 977- 4000

 

A room block is available at the Crowne Plaza Times Square Manhattan Hotel at the special rate of $279 per night, plus tax. This rate is available until February 13, 2014, or until the room block is sold out. Hotel reservations will then be accepted on a space- and rate-available basis. To reserve a room, please call (888) 233-9527 and identify yourself as a FINRA Fixed Income Conference attendee or make your reservation online.

 

Contact Information

For more information or concerns, please call (800) 321-6273.

 

Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 to request a conference exhibitor package. (Please provide complete contact information in your message.)

 

Only FINRA's Annual Conference is open to journalists. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists.