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.

Date Event Location & Venue Fees Registration

June 6, 2017

4 p.m. – 6 p.m.

District Compliance Meeting

Westchester Marriott

670 White Plains Road
Tarrytown, NY 10591

 

FREE

Register

Topics TBD

June 27, 2017

9 a.m. – 11 a.m.

District Compliance Meeting

Rochester Airport Marriott

1890 Ridge Road West
Rochester, NY 14615

 

FREE

Register

Topics TBD

August 10, 2017

9:30 a.m. – 1:30 p.m.

Half-Day Compliance
Boot Camp

FINRA District Office

581 Main Street, 7th Floor
Woodbridge, NJ 07095
(732) 596-2000

$195

View More Information and
Register

Topics:

  • Variable Annuities
  • Effective Practices for Working With Senior Investors

October 5, 2017

4 p.m. – 6 p.m.

District Compliance Meeting

Hyatt Regency Morristown

3 Headquarters Plaza
Morristown, NJ 07960
(732) 596-2000

FREE

Register

Topics TBD

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

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.