South Region Compliance Seminar

The South Region Compliance Seminar is conducted 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.

The South Region Compliance Seminar took place on December 6 – 7, 2017. View the 2017 South Region Compliance Seminar brochure.


Marriott Harbor Beach Resort and Spa
3030 Holiday Drive
Fort Lauderdale, FL 33316
(954) 525-4000

CRCP CE Credit

Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional® program may receive CRCP® CE credits.

Additional Information

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