2017 FINRA Small Firm Conference

2017 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.

FINRA Member Registration
Non-FINRA Member Registration

Download the 2017 Small Firm Conference Brochure


Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401
Tel: (866) 964-7262


A room block has been added at the Fairmont Miramar Hotel and Bungalows, Santa Monica located at 101 Wilshire Boulevard, Santa Monica, CA 90401. The room rate of $320, plus tax per night, is available until October 17, 2017, or until the room block is sold out.

Hotel reservations will be accepted on a space-and rate-available basis. Reserve your hotel room online or call the Fairmont Miramar Hotel and Bungalows at (866) 964-7262 and identify yourself as an attendee of FINRA's Small Firm Conference.

Registration and Fees

In-Person First 50 Through September 1 50+ or After September 1
FINRA Member $550 $695
Non-Member $995 $1,195
Government/State/Regulator $450 $550
Group Rate (Per Person)* First 50 Through September 1 50+ or After September 1
FINRA Member $475 $595
Non-Member $850 $1,010

*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.

Conference fees include attendance to all sessions and conference materials, an evening reception on Wednesday, and continental breakfast and lunch on Thursday.

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 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.

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