District 1 San Francisco - District Compliance Events

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

Date Event Location & Venue Fees Registration

June 24, 2015
9 a.m. – 12:30 p.m.

Half-Day Compliance Boot Camp

Hotel Nikko San Francisco
222 Mason Street
Golden Gate Room
San Francisco, CA 94102
(415) 394-1111

$195

View More Information and Register

Topics:

  • Supervision
  • Vetting and Supervision of Complex Products
Date Event Location & Venue Fees Registration

June 24, 2015
2 p.m. – 4 p.m.

Member Meeting

Hotel Nikko San Francisco
222 Mason Street
Golden Gate Room
San Francisco, CA 94102
(415) 394-1111

Free

Register

Panelists:

  • Susan Axelrod, Executive Vice President, FINRA Office of Regulatory Operations
  • Donald Lopezi, Senior Vice President and Regional Director, FINRA San Francisco District Office
  • Chip Jones, Senior Vice President, FINRA Member Relations and Education


More District events are being added on a regular basis. Check this page frequently for additional programs and other program updates.

Registration and Information:

District Compliance Events are open only to employees of FINRA member firms. Participants must provide their firm's broker-dealer number when registering. To register for a District Compliance Event, use the appropriate registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program.

These meetings are well attended and there is usually a waiting list. Please cancel your registration in advance if your plans change so we can provide your place to someone else and to help avoid unnecessary costs.

Registration Confirmation:

You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.

Cancellation

If you are no longer able to attend this event please send a cancellation request via email.

District Office Contact: Dawn Morse at (206) 382-3463.