District 7 (Atlanta) - 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.  

 

DateEventLocation and VenueFeesRegistration

May 7, 2014

9 a.m. – 11:30 a.m.

District Compliance Meeting

Raleigh Marriott City Center
Chancellor Room
500 Fayetteville Street
Raleigh, NC 27601

 

Free

Register

Topics:

  • Examination Priorities
  • Fixed Income Regulation
  • Regulatory Surveillance

 

DateEventLocation and VenueFeesRegistration

May 8, 2014

9 a.m. – 11:30 a.m.

District Compliance Meeting

Charlotte Convention Center
501 South College Street
Charlotte, NC 28202 

 

Free

Register

Topics:

  • Examination Priorities
  • Fixed Income Regulation
  • Regulatory Surveillance
  • Member Relations Update

October 16, 2014

9 a.m. – 1:30 p.m.

Half-Day Compliance Boot Camp

Atlanta District Office
One Securities Center, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305

$195

View More Information and Register

 

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.

 

Note: for Half-day Compliance Boot Camps refunds for registration, less a $75 processing fee, will be granted for written requests received 14 days or more prior to the start date of the program. Please send your refund request via email.

 

Questions: Contact Paula Bivins-Johnson at (404) 239-6117.


 

District Office Contact: Paula Bivins-Johnson at (404) 239-6117.

 

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.

Last Updated: 4/14/2014