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.
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding.
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.
2018 Conference: Brochure
The South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry.
2018 South Region Member Forum: Agenda
The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry.
2018 North Region Member Forum: Agenda
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
2018 Small Firm Conference: Agenda
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.
2018 Annual Conference: Brochure | Free On-Demand Session Recordings for FINRA Members CRCP Graduates
Join FINRA for the second Small Firm Report, a free conference call series hosted by FINRA leadership that focuses on the unique regulatory challenges facing small firms. The discussion will include recent updates to FINRA rule proposals, including background checks and Rule 3110(e) and exam restructuring and the Securities Industry Essentials (SIE) Exam. The call will conclude with Q&A.
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