District 9A Philadelphia - 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.

More District events are being added on a regular basis. Check this page frequently for additional programs and other program updates.

Date Event Location & Venue Fees Registration

June 12, 2018

8:30 a.m. - 1:30 p.m.

Half-Day Compliance Boot Camp

Omni Richmond Hotel

100 S. 12th Street
Richmond, VA 23219
(804) 344-7000

More Info


  • Effective Practices for Working With Senior Investors
  • Social Media

District Office Contact: Megan Bohan, (215) 209-7034.

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.