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2020 FINRA Small Firm Virtual Conference On-Demand Sessions

2020 Small Firm Virtual Conference Banner

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.

FINRA Member Firms
Register Now
CRCP Graduates
Register Now
 


Agenda and Office Hours Schedule


View the online brochure and office hours schedule for the 2020 Small Firm Virtual Conference.


Additional Information


For registration or technical questions please call (800) 321-6273 or contact us via email.


Press


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.

 

 

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FINRA members should complete the form below and click "Submit" to proceed.

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