2015 South Region Compliance Seminar

South Region Compliance Seminar - December 2-3, 2015 - New Orleans, LA

FINRA hosts the South Region Compliance Seminar to help firms and their associated persons better understand current industry and regulatory issues. Throughout the event, staff members from the Atlanta, Boca Raton, Dallas and New Orleans offices, as well as other FINRA senior staff, will be available to discuss matters of interest with you. Featured topics include common examination findings and effective practices, cybersecurity, senior investors and more.

Download the Conference Brochure for the full agenda and session descriptions.

FINRA Member Registration
Non-FINRA Member Registration


New Orleans Marriott
555 Canal Street
New Orleans, LA 70130
(504) 581-1000

Registration and Fees


First 100 Through October 2

100+ or After October 2

FINRA Member Firm



Non-Member (Attorney)



Non-Member (Consultant)







Group Rate (Per Person)*

First 100 Through October 2

100+ or After October 2

FINRA Member Firm






*Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instruction in the registration system.

Seminar fees include attendance to all sessions and conference materials, lunch and a reception on Wednesday, continental breakfast on Thursday and refreshment breaks.

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.


Full refunds for registration, less a $75 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after November 17, 2015.


A room block has been added at the New Orleans Marriott, located at 555 Canal Street, New Orleans, LA 70130. The room rate of $159, plus tax per night, is available until November 9, 2015, or until the room block is sold out, whichever comes first. Book your hotel room online or call the New Orleans Marriott at (504) 581-1000 and identify yourself as an attendee of the 2015 FINRA South Region Compliance Seminar.

CRCP CE Credit

Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) program may receive CRCP CE credits. Information about CRCP CE credits will be posted soon.

More Information

For questions about the conference content, contact Member Relations and Education via email. Please direct questions about registration to (202) 728-6980 or via email.


Only the FINRA Annual Conference is open to journalists. All other FINRA conferences, webinars, compliance boot camps, phone-in workshops and FINRA Institute at Wharton are closed to journalists.