Conferences & Events
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.
FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals. Many of these educational offerings qualify for CPE and CLE credits.
The New York Region Networking Seminar is a half-day event designed to provide financial professionals associated with FINRA member firms in the New York region the opportunity to engage in key discussions with FINRA New York Regional staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services industry.
The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues.
2017 South Region Compliance Seminar: Brochure
FINRA's Cybersecurity Conference provides a forum to learn the fundamentals and take a deeper dive into key areas of cybersecurity.
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
2017 Small Firm Conference: Brochure
Co-sponsored by the SEC and FINRA, this program provides a forum to discuss compliance issues, to share experiences and to learn about effective compliance practices.
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Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.