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District 11 Boston - District Compliance Events

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

More events are being added on a regular basis. Check this page frequently for additional programs and other program updates.

Date Event Location & Venue Fees Registration

June 12, 2019

9:30 a.m. – 12:30 p.m.

District Compliance Meeting

Federal Reserve Bank of Boston

600 Atlantic Avenue
Boston, MA 02210

FREE

Register

Please note registration for this event closes on May 29.

Topics:

  • SEC Examination Findings and Priorities
  • AML Update
  • Regulatory Update from Member Relations and Education
Date Event Location & Venue Fees Registration

September 25, 2019

9 a.m. - 1 p.m.

Half-Day Compliance Boot Camp

Stamford Marriott

243 Tresser Blvd.
Stamford, CT 06901
(203) 357-9555

$195

View More Information and Register

Topics:

  • Vetting New Products and Supervising Complex Products
  • Outside Business Activities and Private Securities Transactions

Registration and Information:

District Compliance Events are open only to employees of FINRA member firms. Participants must provide their firm's broker-dealer number when registering. To register for a District Compliance Event, use the appropriate registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program.

Registration Confirmation:

You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.

Cancellation

These meetings are well attended and there is usually a waiting list. Please cancel your registration in advance if your plans change so we can provide your place to someone else and to help avoid unnecessary costs.


District Office Contact: Lauren Provensal at (617) 532-3485.