Conferences & Events

Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.

FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals.

Many of these educational offerings qualify for CPE and CLE credits.

 

Events

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

 

CCOutreach Program 
Co-sponsored by the SEC and FINRA, this program is intended to foster communication about compliance risks and effective compliance controls, with the goal of helping CCOs foster strong compliance programs within their firms

 

Phone-In Workshops 
FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics.

 

Foundations of Web CRD/IARD Training
Designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.

 

Conferences

Annual Conference

May 23–25, 2011 • Washington, DC

FINRA has combined its Securities Conferences into a single annual event, and has expanded the program to address the complex business and operational challenges firms face in today’s regulatory landscape.

 

Advertising Regulation Conference
November 9–10, 2010 • Washington, DC

FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with advertising rules and regulations for communications with the public.

 

Fixed Income Conference

Available in 2011

FINRA’s annual Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding to them.

 

Questions or Comments? Contact Us


Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences., classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.