Compliance Workshops

FINRA Compliance Workshops are informal, interactive learning opportunities that provide 2 – 3 hours of in-depth educational content on key compliance topics. Workshops are designed to provide industry practitioners the opportunity to learn from and engage with FINRA staff and subject matter experts and peers in a small group setting.

The Protecting Vulnerable Adults and Seniors from Financial Exploitation: Effectively Communicating with Elder Investors Workshops were held on February 22 and March 6, 2024. 

There are no FINRA Workshops scheduled at this time!