District 8 Chicago - 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

June 6, 2017

9 a.m. – 12 p.m.

District Compliance Meeting

Hilton Madison Monona Terrace
Meeting Room: Founders Room

9 East Wilson Street
Madison, WI 53703

FREE

Register

Topics:

  • Examination Priorities
  • Common Examination Findings
  • Regulatory Issues and Effective Practices for Small Firms
Date Event Location & Venue Fees Registration

June 20, 2017

9 a.m. – 12 p.m.

District Compliance Meeting

The Westin Columbus
Meeting Room: Seneca Room

310 S. High Street
Columbus, OH 43215

FREE

Register

Topics:

  • Examination Priorities
  • Common Examination Findings
  • Regulatory Issues and Effective Practices for Small Firms

NOTE: Meeting attendees may also be interested in the Web CRD/IARD training that FINRA’s Registration and Disclosure (RAD) Training Team is offering nearby on June 21 – 22. Visit the Foundations of Web CRD/IARD Training Sessions page to learn more.

Date Event Location & Venue Fees Registration

June 29, 2017

9 a.m. – 12 p.m.

District Compliance Meeting

The Seelbach Hilton Louisville
Meeting Room: Mezzanine Ballroom

500 Fourth Street
Louisville, KY 40202

FREE

Register

Topics:

  • Examination Priorities
  • Common Examination Findings
  • Regulatory Issues and Effective Practices for Small Firms
Date Event Location & Venue Fees Registration

July 25, 2017

9 a.m. – 1:30 p.m.

Half-Day Compliance Boot Camp

FINRA District Office

55 W. Monroe St., Suite 2700
Chicago, IL 60603
(312) 899-4400

$195

View More Information and
Register

Topics:

  • Cybersecurity
  • Branch Office Inspections
Date Event Location & Venue Fees Registration

August 29, 2017

12 p.m. - 4:30 p.m.

Half-Day Compliance Boot Camp

The Pfister Hotel

424 E. Wisconsin Ave.
Milwaukee, WI 53202
(414) 273-8222

$195

View More Information and
Register

Topics:

  • Variable Annuities
  • Effective Practices for Working With Senior Investors

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: Karen Martin (312) 899-4311

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.