District 4 Kansas City - District Compliance Meetings

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. For more information including discussion topics, see the individual program descriptions below.

Date Event Location & Venue Fees Registration
April 8, 2015
2 p.m. – 4 p.m.
Member Meeting Loews Minneapolis Hotel
601 1st Avenue N
Minneapolis, MN 55403
Free Register

Topics:

  • Rick Ketchum, FINRA Chairman and CEO
  • Scott DeArmey, District Director, FINRA Kansas City District
  • Chip Jones, Senior Vice President, FINRA Member Relations and Education
Date Event Location & Venue Fees Registration
August 27, 2015
9 a.m. – 1:30 p.m.
Half-Day Compliance Boot Camp Renaissance St. Louis Grand Hotel
800 Washington Ave.
St. Louis, MO 63101
Meeting Room: Hawthorne/Lucas/Flora
(314) 621-9600
$195 View More Information and Register

Topics:

  • Supervision
  • Branch Office Inspections
Date Event Location & Venue Fees Registration
November 3, 2015
9 a.m. – 1:30 p.m.
Half-Day Compliance Boot Camp Hilton Omaha
1001 Cass Street
Omaha, NE 68102
(402) 998-3400
$195 View More Information and Register

Topics:

  • Supervision
  • Branch Office Inspections

 

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: Cynthia Wilson at (816) 802-4773.

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.