2017 FINRA AML Half-Day Seminars

FINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems.

The seminars are designed for AML compliance professionals from firms of all sizes who are new to their role, or to those who are looking to reinforce their understanding of regulatory requirements and compliance responsibilities. 

Registration Information

In 2017, FINRA is hosting three AML Half-Day Seminars—each led by managers of FINRA’s AML Unit. Register below to attend a seminar in your area.

District Date Venue Fees Registration
7 – Boca Raton November 7, 2017
9 a.m. – 2 p.m.
Boca Raton Marriott at Boca Center
5150 Town Center Circle
Boca Raton, FL 33486
(561) 620-3718
$195 Register

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10 – New York November 13, 2017
9 a.m. – 2 p.m.
FINRA New York District Office (Brookfield Place)
200 Liberty Street
New York, NY 10281
(212) 858-4000


View Agenda