District 9B Woodbridge - 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 18, 2019

9:00 – 11:00 a.m.

District Compliance Meeting

Rochester Marriott Airport
1890 Ridge Road West
Rochester, NY 14615

FREE
Register

Please note registration for this event closes on June 17.

Topics:

  • Qualification and Registration Requirement Changes
  • FINRA Enforcement Updates and Recent Cases
  • AML and Regulatory Notice 19-18
Date Event Location & Venue Fees Registration

October 3, 2019

4:00 – 6:00 p.m.

District Compliance Meeting

Hyatt Regency Morristown
3 Speedwell Avenue
Morristown, NJ 07960

FREE
Register

Please note registration for this event closes on October 2.

Topics TBD

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: Contact Debra Smit at (732) 596-2027.