Small Firm Update Webinar
Original Program Date: September 7, 2011
This free video webinar will inform small firms about a number of FINRA activities ranging from updates on our examination and regulatory programs to compliance tools and resources for small firms. FINRA staff and small firm CEOs will also discuss small firm participation in the FINRA committee and rulemaking process.
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Complete the Registration Form. A confirmation email will be sent to you after your registration has been processed.
Registration for the On-Demand Webinar
If you have questions regarding this webinar, email us.
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
Only FINRA's Annual Conference is open to the media. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists.