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

November 2, 2017

9 a.m. – 11 a.m.
District Compliance Meeting

Washington, DC

FINRA Office (Visitor’s Center)
1735 K Street
Washington, DC 20006
FREE

Register

Topics:

  • Cybersecurity Issues
  • FINRA – What’s New (including Senior Helpline, regulatory trends, rules updates and more)

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.