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.
Recordings of sessions are available to FINRA member firms and CRCP® graduates. View the recorded sessions from the 2022 FINRA Small Firm Conference. View the online brochure for a list of sessions and their descriptions.
View the brochure for the 2022 Small Firm Conference.
Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401
The 2022 Small Firm Conference was held November 9-10. Registration is closed.
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.
Please direct questions about registration to (800) 321-6273 or via email.
This event is open to the media.