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.


2017 Annual Conference

May 16 – 18, 2017 • Washington, DC
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.

2016 Annual Conference: Brochure | Free On-Demand Session Recordings for FINRA Member | CRCP Graduate

FINRA Blockchain Symposium

July 13, 2017 • New York, NY
FINRA’s Blockchain Symposium brings together regulators and industry leaders to discuss the use of blockchain and related opportunities and challenges. The half-day symposium is designed to look at the changes that are occurring or may occur in the future as a result of the implementation of DLT applications in the financial industry.

2017 Fixed Income Conference

September 14, 2017 • Dallas, TX (NEW LOCATION)
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding.

2016 Fixed Income Conference: Brochure | Free On-Demand Session Recordings for FINRA Member | CRCP Graduate

2017 Advertising Regulation Conference

October 5 – 6, 2017 • Washington, DC
FINRA's Advertising Regulation Conference provides a forum to hear about practical guidance on complying with advertising rules and new developments involving the communications rules, and the opportunity to gain guidance on the advertising standards from industry and FINRA experts.

2017 Small Firm Conference

November 8 – 9, 2017 • Santa Monica, CA
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.

2016 Small Firm Conference: Information | Brochure

2017 South Region Compliance Seminar

December 6 – 7, 2017 • Fort Lauderdale, FL
The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues.

Cybersecurity Conference

FINRA's Cybersecurity Conference provides a forum to learn the fundamentals and take a deeper dive into key areas of cybersecurity.

FINRA/SIFMA Senior Investor Protection Conference

This joint FINRA/SIFMA conference brings together financial advisers, regulators, compliance officers, attorneys and academic experts to advance efforts to protect senior investors.



FINRA Diversity Summit

A forum for diversity practitioners and business leaders in the industry to share diversity and inclusion best practices that link business goals to the workplace and the marketplace.

District Compliance Events

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

Compliance Boot Camps

FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.

Compliance Outreach Program

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.

Phone-In Workshops

FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics.

Foundations of Web CRD/IARD Training

Designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.

FINRA Registration and Disclosure Bootcamp

This training, designed for firm staff who are new to reporting Disclosure information in Web CRD, is focused on interpreting and complying with disclosure reporting requirements as well as “hot topic” securities registration issues.

Custom Web CRD Training

Contact FINRA’s Registration and Disclosure (RAD) Training team to discuss tailoring a training session to the needs of your firm.

Questions or Comments? Contact Us

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.