2016 FINRA Small Firm Conference

FINRA 2016 Small Firm Conference - Nobember 9-10, 2016, Phoenix, AZ

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA senior staff.


The Camby Hotel | Autograph Collection
2401 East Camelback Road
Phoenix, AZ 85016
Tel: (602) 468-0700

The 2016 Small Firm Conference took place in Phoenix, AZ on November 9 - 10. On-Demand recordings for some conference sessions will be available to FINRA member firms and CRCP graduates in the near future. Check this page frequently for conference updates.

Download the 2016 Small Firm Conference Brochure.

Registration and Fees


First 50 Through August 19

50+ or After August 19

FINRA Member Firm



Non-Member (Attorney & Consultant)







Group Rate (Per Person)*

First 50 Through August 19

50+ or After August 19

FINRA Member Firm






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

Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 or via email to request a conference exhibitor package.

Additional Information

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.