District 5 New Orleans - 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. For more information including discussion topics, see the individual program descriptions below.

Date Event Location & Venue Fees Registration

May 17, 2017

9 a.m. – 11:30 a.m.

District Compliance Meeting

Memphis, TN

The Crescent Club
6075 Poplar Avenue #909
Memphis, TN 38199

FREE

Register

Topics:

  • 2017 FINRA Annual Priorities
  • Common Examination Findings
  • Effective Practices Before, During and After the Examination Process
  • Effective Branch Office Inspections
Date Event Location & Venue Fees Registration

July 27, 2017

1 p.m. – 5 p.m.

Half-Day Compliance
Boot Camp

Birmingham Marriott

3590 Grandview Parkway
Birmingham, AL 35243
(205) 968-3775

$195

View More Information and
Register

Topics:

  • Effective Practices for Working With Senior Investors
  • Variable Annuities
Date Event Location & Venue Fees Registration

July 27, 2017

9 a.m. – 12 p.m.

District Compliance Meeting

Birmingham, AL

Birmingham Marriott
3590 Grandview Parkway
Birmingham, AL 35243

FREE

Register

Topics:

  • 2017 FINRA Annual Priorities
  • Common Examination Findings
  • Effective Practices Before, During and After the Examination Process
  • Effective 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.

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: Brian Hartmann at (504)412-2460.

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.