2019 FINRA Small Firm Conference

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA senior staff.

Agenda

Please check this website frequently for updates—the conference agenda will be available at a later date.

Location

Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401

Accommodations

A room block is available at the Fairmont Miramar Hotel and Bungalows at the special room rate of $339 per night, plus tax. The rate is available until October 1, 2019, or until the room block is sold out. Hotel reservations will then be accepted on a space- and rate-available basis.

New Process for FINRA Programs

To reserve a room, you must first register as an attendee for the conference. A hotel reservation link will then be provided in your registration summary page and your registration confirmation email. Please contact us with any additional questions.

Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.

In-Person Rates

FINRA Member (Small Firm)
must provide valid CRD #
$395
$395 - First 50 thru 6/28/2019
$495 - 50+ or After 6/28/2019
REGISTER
Government/State
 
$395
$395 - First 50 thru 6/28/2019
$495 - 50+ or After 6/28/2019
REGISTER
Non-Member
 
$995
$995 - First 50 thru 6/28/2019
$1,195 - 50+ or After 6/28/2019
REGISTER

Group Rates* (Per Person)

FINRA Member (Small Firm)
must provide valid CRD #
$270
$270 - First 50 thru 6/28/2019
$370 - 50+ or After 6/28/2019
REGISTER
Non-Member
 
$850
$850 - First 50 thru 6/28/2019
$1,010 - 50+ or After 6/28/2019
REGISTER

*Available to firms registering three (3) or more employees at the same time with the same credit card. Please follow instructions in the registration system.

Conference fees include attendance to all sessions and conference materials, an evening reception on Wednesday, and continental breakfast and lunch on Thursday.

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

Refunds

Full refunds for registration fees, less a $50 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after October 9, 2019.

Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 or via email to request a conference exhibitor package.

Additional Information

Please direct questions about registration to (202) 728-6980 or via email.

This event is not open to the media.