2014 FINRA Small Firm Conference

December 10 – 11, 2014

San Francisco, CA



The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Featured topics include supervision, suitability, anti-money laundering and outside business activities, among others.


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View the conference brochure, which includes the agenda, session descriptions and speakers. Register early for reduced rates.



JW Marriott San Francisco Union Square
515 Mason Street
San Francisco, CA 94102
Tel: (800) 228-9290



Registration and Fees

In-Person >> Before November 12After November 12

FINRA Member Firm



Non-Member (Attorney)



Non-Member (Consultant)



Government /Regulator




Group Rate (Per Person) >>*Before November 12After November 12

FINRA Member Firm







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


Conference fees include attendance to all sessions and conference materials, an evening reception on Wednesday, and continental breakfast and lunch on Thursday.


Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. Registrations without payment are considered incomplete.


You will receive an email confirmation of your completed registration form and payment. 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 airline tickets for travel to the conference, especially prior to the receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference date or location become necessary.




Full refunds for registration fees, less a $25 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after November 26, 2014.




A limited number of sleeping rooms are available at the JW Marriott San Francisco Union Square at the conference rate of $259, plus tax per night. This rate is available until November 18, 2014, or until the room block is sold out, whichever comes first. Book your hotel room online or call the JW Marriott San Francisco Union Square at (877) 622-3056 and identify yourself as an attendee of FINRA's Small Firm Conference.


Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri or (508) 759-8180 to request a conference exhibitor package.


More Information

For questions about conference registration, contact Sherri Freeman via email or (202) 728-8131.


Only the FINRA Annual Conference is open to journalists. All other FINRA conferences, webinars, compliance boot camps, phone-in workshops and FINRA Institute at Wharton are closed to journalists.

Last Updated: 9/25/2014