District 6 Dallas - 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

October 19, 2017

9 a.m. – 2 p.m.

AML Half-Day Seminar

FINRA Dallas District Office

12801 North Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554




  • 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.​

District Office Contact: Shelly Davis at (972) 701-8554

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.