District 9A Philadelphia - 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.

Date Event Location & Venue Fees Registration
March 23, 2015
9 a.m. – 11:30 a.m.
District Compliance Meeting Omni Hotel
100 South 12th Street
Richmond, VA 23219
Free Register

Topics:

  • Supervision and the Supervisory Control Rules
  • Branch Office Examinations
Date Event Location & Venue Fees Registration
April 28, 2015
2 p.m. – 4 p.m.
Member Meeting Key Bridge Marriott
1401 Lee Highway
Arlington, VA 22209
(703) 524-6400
Free Register

Speakers:

  • Rick Ketchum, FINRA Chairman and CEO
  • Susan Axelrod, Executive Vice President, Office of Regulatory Operations
  • Chip Jones, Senior Vice President, FINRA Member Relations and Education
Date Event Location & Venue Fees Registration
June 8, 2015
8:30 a.m. – 12:30 p.m.
Half-Day Compliance Boot Camp Hyatt Regency Baltimore on the Inner Harbor
300 Light Street
Baltimore, MD 21202
(410) 528-1234
$195 View More Information and Register

Topics:

  • Supervision
  • AML Compliance
Date Event Location & Venue Fees Registration
October 19, 2015
Times TBD
Half-Day Compliance Boot Camp Philadelphia, PA
Venue TBD
$195 View More Information and Register

Topics:

  • Supervision
  • 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: Jessica Washington, (215) 665-1180.

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.