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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

View the agenda for the 2022 Small Firm Conference.

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

As of September 9, 2022:

Health and Safety Requirements for FINRA Meetings and Conferences
To sustain a healthy and safe environment, FINRA will be using an approach based on CDC COVID-19 Community Levels (Low, Medium, High) for in-person meetings in line with FINRA’s COVID-19 policy. The current COVID-19 variants spread easily through airborne transmission.  In addition, the current variants are more infectious than the original virus and can result in reinfections for those who might have been previously infected.

As part of our commitment to creating the safest possible environment for our in-person events, we strongly recommend that all attendees do the following for all in-person meetings regardless of the CDC COVID-19 Community Level:

  • Stay up to date with COVID-19 vaccinations, including all primary series doses and boosters for their age group.
  • Take a rapid COVID test prior to attending a meeting to ensure that you are not carrying the disease.
  • Wear a mask in indoor settings if you are at high risk for severe illness.

If the CDC COVID-19 Community Level is High in the location where the meeting will be held, all attendees and staff will be required to:

  • Attest to testing negative to a rapid COVID-19 test within 24 hours of travel and in person interactions at the meeting or conference. 
  • Attest to testing negative to a rapid COVID-19 test prior to the fourth day if the meeting is longer than 3 days.
  • Wear a mask.

Additionally, FINRA recommends that you review the current CDC guidance for protecting yourself from COVID-19 found at https://www.cdc.gov/mmwr/volumes/71/wr/mm7133e1.htm?s_cid=mm7133e1_w.

The health requirements for each event may be affected by changes in the CDC COVID-19 Community Levels.  You will be notified in advance of any changes to health requirements for this event if the CDC COVID-19 Community Levels change.  You can monitor the CDC COVID-19 Community Levels for all locations in the country at https://www.cdc.gov/coronavirus/2019-ncov/your-health/covid-by-county.html.

 

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 conference hotel, you must first register as an attendee for the conference. A hotel reservation link will then be provided in your registration summary page and your registration confirmation email. Please contact us with any additional questions.

In-Person Rates

FINRA Member (Small Firm)
must provide valid CRD #
$495
$395 - First 50 thru 6/24/2022
$495 - 50+ or After 6/24/2022
REGISTER
Non-Member
 
$1,195
$995 - First 50 thru 6/24/2022
$1,195 - 50+ or After 6/24/2022
REGISTER
Government/State
 
$495
$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 #
$370
$270 - First 50 thru 6/24/2022
$370 - 50+ or After 6/24/2022
REGISTER
Non-Member
 
$1,010
$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.

SIGN-UP

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