2018 FINRA Disclosure Reporting, Monitoring and Registration Conference

Disclosure Reporting, Monitoring and Registration Conference Banner

This one-day conference brings together compliance, supervision, and registration staff from broker-dealers and third-party vendors to discuss regulatory reporting requirements and industry practices related to firm registrations, including FINRA’s Membership Application Program (MAP), individual registrations, customer complaints and disclosures. Attendees learn of tools and reports available to monitor disclosures and identify high-risk branches and employees within an organization.

Agenda

View the schedule at-a-glance and the conference brochure for the 2018 Disclosure Reporting, Monitoring and Registration Conference.

Location

Crowne Plaza Times Square Manhattan
1605 Broadway (between 48th and 49th Street)
New York, NY 10019

Accommodations

A room block is available at the Crowne Plaza Times Square Manhattan hotel at the special rate of $179 per night, plus tax. This rate is available until September 18, 2018 or until the room block is sold out. Hotel reservations will then be accepted on a space and rate-available basis. Reserve your room online, or please call (888) 233-9527 and identify yourself as a 2018 FINRA Disclosure Reporting, Monitoring and Registration Conference attendee.

Register (Pricing)

Individual Attendee Rates

FINRA Member
must provide valid CRD #
$945
$795 - First 50 thru 7/27/18
$945 - 50+ or after 7/27/18
REGISTER
FINRA Member
(Small Firm)
must provide valid CRD #
$495
$395 - First 50 thru 7/27/18
$495 - 50+ or after 7/27/18
REGISTER
Non-Member
 
$1,325
$1,175 - First 50 thru 7/27/18
$1,325 - 50+ or after 7/27/18
REGISTER
Government/Regulator
 
$670
$560 - First 50 thru 7/27/18
$670 - 50+ or after 7/27/18
REGISTER

Group Rates* (Per Person)

FINRA Member
must provide valid CRD #
$800
$670 - First 50 thru 7/27/18
$800 - 50+ or after 7/27/18
REGISTER
FINRA Member
(Small Firm)
must provide valid CRD #
$370
$270 - First 50 thru 7/27/18
$370 - 50+ or after 7/27/18
REGISTER
Non-Member
 
$1,130
$1,000 - First 50 thru 7/27/18
$1,130 - 50+ or after 7/27/18
REGISTER

The special discounted rate for the first 50 in-person registrants is non-refundable. For all other registration categories, a full refund—less a $150 processing fee—will be granted to written requests received 14 days or more prior to the start date of the program. Refunds will not be granted after September 25, 2018.

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

Conference fees include attendance to all sessions and conference materials, scheduled breakfast and lunch.

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.

Exhibitors

If you are interested in being an exhibitor at the 2018 Disclosure Reporting, Monitoring and Registration Conference, contact Jeff Arcuri at (508) 759-8180 or via email.

Questions

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

Press Registration

This event is open to the media. There is no charge for media covering the conference, but registration is required. Please contact us with any media inquiries.