2023 Small Firm Conference
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.
The agenda for the 2023 Small Firm Conference will be posted at a later date.
Santa Monica, CA
The hotel location will be provided after registering for the event.
A room block is available at the conference hotel at the special room rate of $375 per night, plus tax. The rate is available until Monday, October 2, 2023, or until the room block is sold out.
Room Reservation Process for FINRA Programs
To reserve a room at the above hotels, 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.
Group Rates (Per Person)
*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
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.
A full refund—less a $75 processing fee—will be granted to written requests received 14 days or more prior to the start date of the event. Refunds will not be granted after October 11, 2023.
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.
Important Pre-Event Information
COVID-19 Requirements for In-person Attendees
As of January 30, 2023:
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, we recommend that all attendees and staff:
- Test negative to a rapid COVID-19 test within 24 hours of travel and in person interactions at the meeting or conference.
- Wear a mask.
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.
Please direct questions about registration to (800) 321-6273 or via email.
This event is open to the media.