This one-day conference was held online on October 28, 2020, and focused on effective practices and tips for complying with FINRA rules — from the unique perspective of small firms.
Register to View the Sessions
Recordings of sessions are available to FINRA member firms and CRCP® graduates.
Agenda and Office Hours Schedule
For registration or technical questions please call (800) 321-6273 or contact us via email.
This event is open to the media.
FINRA's conference sessions are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the conference does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this recording does not create a safe harbor from regulatory responsibility. This on-demand program is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the sessions in any form, nor reference them in any publication, without the express written consent of FINRA.