District 7- Boca Raton, Florida - 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
May 19, 2015
1 p.m. – 4 p.m.

 

District Compliance Meeting* La Concha, A Renaissance Resort
1077 Ashford Avenue
San Juan, Puerto Rico 00907
(787) 721-7500
Free Register

Topics:

  • SEC and FINRA Exam Priorities
  • Enforcement Update
  • Fixed Income Update
  • Cybersecurity

* This district compliance meeting will be conducted in Spanish only.

 

Date Event Location & Venue Fees Registration
May 19, 2015
9 a.m. – noon

 

Half-Day Compliance Boot Camp* La Concha, A Renaissance Resort
1077 Ashford Avenue
San Juan, Puerto Rico 00907
(787) 721-7500
$195 View More Information and Register

Topics:

  • Branch Office Inspections
  • Managing Conflicts of Interest

* This boot camp will be conducted in Spanish only.

Date Event Location & Venue Fees Registration
June 24, 2015
9 a.m. – 1:30 p.m
Half-Day Compliance Boot Camp FINRA Boca Raton District Office
5200 Town Center Circle
Suite 200
Boca Raton, FL 33486
(561) 443-8000
$195 View More Information and Register

Topics:

  • Cybersecurity
  • Supervision
Date Event Location & Venue Fees Registration
September 23, 2015
9 a.m. – 1:30 p.m.
Half-Day Compliance Boot Camp FINRA Boca Raton District Office
5200 Town Center Circle
Suite 200
Boca Raton, FL 33486
(561) 443-8000
$195 View More Information and Register

Topics:

  • Suitability
  • AML Compliance

 

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: John Clark at (561) 443-8025.

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.