Education and Compliance Programs
Registration is now open for the 2019 FINRA Diversity Summit, which takes place Tuesday, April 2 in New York City. This free one-day program provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies, and outreach efforts intended to leverage the benefits of building sustainable diversity and inclusion programs.
Space is limited and available on a first-come, first-served basis, with a preference given to those employed or associated with a FINRA member broker-dealer firm. Register soon to reserve your seat.
Register early for the Annual Conference, which takes place May 15-17, 2019, in Washington, DC. This year's conference features more than 50 sessions and five session tracks geared towards various business models and firm sizes. Join us to hear valuable insights on today’s most timely topics, featuring a keynote address from FINRA President and CEO Robert Cook and Author of The Pursuit of Happyness Chris Gardner.
- Anti-Money Laundering (AML)
- Fixed Income
- And much more
Reduced rates are available for the first 500 in-person registrants before March 29, 2019. Register today.
The CTCI migration conference call has been re-scheduled to Wednesday, Jan. 30, 2019, 2-3 p.m. Eastern Time, to discuss the upcoming migration. Effective Feb. 3, 2020, FIX will be the only protocol supported for reporting trades to FINRA's TRACE and ORF platforms.
Register for the call to learn:
- The steps that firms will need to take to successfully complete the migration;
- Where to find documentation;
- About network and application testing for direct connections as well as for firms reporting via a service bureau; and
- Where to get support.
The call will be in listen-only mode. Questions may be submitted before or during the call to TraceFeedback@finra.org.
Please note: registration is required for all participants, including those who had registered for the call that was postponed. Signing up to participate is quick and easy. There are a limited number of lines available for this call. Please register as soon as possible and plan to share a phone line with others at your firm to help FINRA maximize participation.
Registration is now open for the Compliance Outreach Program for Municipal Advisors—which takes place February 7, 2019, in San Francisco, CA. This free one-day program is designed to provide an open forum for municipal advisory industry professionals to discuss current compliance practices with regulators and promote a more effective compliance structure for regulatory obligations of municipal advisors. The program is sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Office of Municipal Securities, FINRA and the MSRB.
Register today to attend in person or via live audio webcast.
Mark your calendar as FINRA’s Small Firm Conference returns October 23 – 24, 2019 in Santa Monica, CA. This conference features in-depth discussion on small firms’ practices and tips for complying with FINRA rules.
Discounted rates available—register early to secure your seat.
Register today for the 2019 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program— comprised of two weeklong residential courses, which are delivered at Georgetown University's McDonough School of Business in Washington, DC. This program provides an executive educational experience that covers the theory and practical application of securities laws and regulation through intensive instruction, discussion and case studies.
Watch our latest video to learn more about the CRCP® program and get answers to the most frequently asked questions about the program. Visit FINRA's website for additional details and registration information.