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Compliance Workshops

Compliance Workshops

FINRA Compliance Workshops, either virtual or in-person, are informal, interactive learning opportunities that provide 2 – 3 hours of in-depth educational content on key compliance topics. Workshops are designed to provide industry practitioners the opportunity to learn from and engage with FINRA staff and subject matter experts and peers in a small group setting.

Register for the Individual Compliance Workshops:

Date

Sessions

Thursday, November 30, 2023
(Virtual)

2:00 p.m. – 4:00 p.m. ET

Cybersecurity: Vendor Risk Management

SOLD OUT

Wednesday, December 6, 2023
(Virtual)

2:00 p.m. – 4:00 p.m. ET

Cybersecurity: Incident Management

REGISTER


Registration and Fees


The fee to participate in a Compliance Workshop is $50. These events are open only to FINRA member firms' personnel. Participants must provide their firm's broker-dealer number when registering.

Space is limited to 50 participants per session and available on a first-come, first-served basis. A waitlist will be enabled once maximum capacity is met.

Registration Confirmation: You will receive an email confirmation of your registration. 

Cancellation Policy:

A full refund will be granted to written requests received 14 days or more prior to the start date of the event.

For questions regarding Compliance Workshops, contact FINRA. For questions regarding registration, please email [email protected].

COMPLETE THE FORM BELOW

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

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

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

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.