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2022 Small Firm Conference

2022 Small Firm Conference | November 9 - 10 | Santa Monica, CA

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 topics with FINRA senior staff.

Agenda

The agenda for the 2022 Small Firm Conference will be posted at a later date.

Location

Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401

Important Pre-Event Information

COVID-19 Requirements for In-person Attendees – Proof of Vaccination and a Negative Test Required:

As of April 5, 2022
Registration for in-person attendance (as opposed to virtual attendance) at FINRA events requires proof that registrants are fully vaccinated against COVID-19. Upon arrival at the conference site, each individual must complete a health questionnaire and attest to testing negative to a rapid antigen COVID-19 test taken no more than 24 hours prior to the start of the conference.

Health and Safety:
FINRA will closely follow guidelines and recommendations from the CDC as well as from state and local officials when establishing minimum health and safety requirements for our events. FINRA’s requirements may exceed the minimum guidelines or recommendations of government entities.

Optional Masks:
In light of the CDC’s recently updated guidance on mask wearing, we are making it optional to wear masks at FINRA conferences. However, we encourage attendees to wear a mask if they are, or someone in their home is, immunocompromised or at high risk for severe illness, or if they have a child who is 4 years of age or younger and thus is currently ineligible to receive a COVID-19 vaccine. We may implement a mask requirement as health and safety conditions dictate.

Physical Distancing:
While many venues are not currently requiring physical distancing, FINRA will provide physically distant seating and event space set-up to allow individuals who wish to physically distance while in sessions to do so comfortably. Additionally, to help attendees communicate their level of comfort in interacting with one another, FINRA will provide all attendees with their choice color coded bracelets (shown below) to represent each attendee’s choice of contact:

Red – Greet from 6 feet

Yellow – Elbows only

Green – Handshakes and high-fives

 

Accommodations

A room block is available at the Fairmont Miramar Hotel & Bungalows, Santa Monica at the special room rate of $365 per night, plus tax. The rate is available until Monday, October 17, 2022, or until the room block is sold out.

Room Reservation Process for FINRA Programs
To reserve a room at the Fairmont Miramar Hotel & Bungalows, Santa Monica, you must first register as an attendee for the conference. In order to book your hotel reservation, you must log into your registration. Click here to log into your registration. Please contact us with any additional questions.

In-Person Rates

FINRA Member (Small Firm)
must provide valid CRD #
$395
$395 - First 50 thru 6/24/2022
$495 - 50+ or After 6/24/2022
REGISTER
Non-Member
 
$995
$995 - First 50 thru 6/24/2022
$1195 - 50+ or After 6/24/2022
REGISTER
Government/State
 
$395
$395 - First 50 thru 6/24/2022
$495 - 50+ or After 6/24/2022
REGISTER

 

Group Registration Rates* (Per Person)

FINRA Member (Small Firm)
must provide valid CRD #
$270
$270 - First 50 thru 6/24/2022
$370 - 50+ or After 6/24/2022
REGISTER
Non-Member
 
$850
$850 - First 50 thru 6/24/2022
$1,010 - 50+ or After 6/24/2022
REGISTER
 

*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.

 

Virtual Attendee Rates

FINRA Member
must provide valid CRD #
$100
REGISTER
FINRA Member (Group)
must provide valid CRD #
$50
REGISTER
 

 

Non-Member
$200
REGISTER
Non-Member (Group)
$150
REGISTER
Government/State
$100
REGISTER

In-person conference fees include attendance to all sessions and conference materials, scheduled breakfast, lunches and receptions.

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 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 26, 2022.

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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