FINRA Small Firm Conference

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.


Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401

The 2017 Small Firm Conference took place in Santa Monica, CA, November 8 – 9. On-Demand conference session recordings will be available to FINRA member firms and CRCP graduates in the near future. Check this page frequently for conference updates.

Registration is now open for the 2018 Small Firm Conference in Santa Monica, CA, on November 7 – 8. Reduced rates are available for the first 50 in-person registrants before 8/31/2018.

Download the 2017 Small Firm Conference Brochure


Full refunds for registration fees, less a $50 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 October 25, 2017.

Additional Information

Please direct questions about registration to (202) 728-6980 or via email.