District 10 New York - District Compliance Events

Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

Date Event Location & Venue Fees Registration

October 24, 2017

9 a.m. – 10:30 a.m.

District Compliance Meeting

United Federation of Teachers

52 Broadway
New York, NY 10004

FREE

Register

Topics:

  • Overview of Research Rules
  • Representative Level Qualification Exam Restructuring and Registration Rule Consolidation
Date Event Location & Venue Fees Registration

November, 13 2017

9 a.m. – 2 a.m.

AML Half-Day Seminar

FINRA New York District Office (Brookfield Place)

200 Liberty Street
New York, NY 10281
(212) 858-4000

$195

Register

Topics:

  • Fundamentals of Money Laundering
  • Analysis of AML Rules
  • Monitoring for Suspicious Activity

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.

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

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.


District Office Contact: Georgia Mantekas (212) 858-4178.

Only FINRA's Annual Conference is open to journalists. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton, District Compliance Events and webinars are closed to journalists.