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.

 

Conferences

Cybersecurity ConferenceNew Flag

February 4, 2015 • New York, NY

FINRA and SIFMA’s join forces to host a full-day conference dedicated to discussing important issues around cybersecurity.

 

Fixed Income Conference

March 10, 2015 • New York, NY

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

 

FINRA Diversity Summit
March 18, 2015 • New York, NY

A forum for diversity practitioners and business leaders in the industry to share diversity and inclusion best practices that link business goals to the workplace and the marketplace.

 

Annual Conference

May 27–29, 2015 • Washington, DC

Join practitioners, peers and regulators to exchange ideas on today's most challenging compliance and regulatory topics. Register early for the best conference rate.

 

Events

District 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.

 

Compliance Outreach Program 
Co-sponsored by the SEC and FINRA, this program provides a forum to discuss compliance issues, to share experiences and to learn about effective compliance practices.

 

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.

 

Past Conferences – Access Materials and Session Recordings

Small Firm Conference

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.

 

South Region Compliance Seminar

The FINRA South Region Compliance Seminar provides compliance and legal professionals in the South Region an opportunity to discuss important regulatory and compliance issues and solutions with industry peers and regulators.

 

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

 

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

 

Last Updated: 12/17/2014