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.

The Small Firm Conference took place in Santa Monica, CA, November 7 - 8. Save the date for the 2019 Small Firm Conference—which takes place October 23 – 24, 2019, in Santa Monica, CA. Check this page frequently—registration will open soon.

If you are looking for other educational offerings, please consider registering for the 2019 FINRA Annual Conference—which includes sessions designed specifically for small firms.


View the conference brochure for the 2018 Small Firm Conference.

Exhibitor Opportunities

The exhibitor showcase for the Small Firm Conference is sold out. Please contact Jeffrey Arcuri at (508) 759-8180 or via email for other exhibitor opportunities.

Additional Information

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

This event is not open to the media.