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2021 FINRA Small Firm Virtual Conference

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The Small Firm Virtual Conference is now being held entirely virtual on October 28, 2021.

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

Agenda


The agenda for the 2021 Small Firm Virtual Conference will be posted at a later date.

Virtual Registration Rates


FINRA Member (Small Firm)
must provide valid CRD #
$100
Virtual
Registration
Non-Member
 
$200
Virtual
Registration
Government/State
 
$100
Virtual
Registration


Virtual Group Rates* (Per Person)


FINRA Member (Small Firm)
must provide valid CRD #
$50
Virtual Group
Registration
Non-Member
 
$150
Virtual Group
Registration
 

 

*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 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.

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.


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 13, 2021.


Exhibitor Opportunities


FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri via email to request a conference exhibitor package.


Additional Information


Please direct questions about registration to (800) 321-6273 or via email.


Press


This event is open to the media.

 

COMPLETE THE FORM BELOW

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

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