Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

District 9B Woodbridge - 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.

There are no district compliance events scheduled at this time. Check this page frequently for additional programs and other program updates.


District Office Contact: Contact Debra Smit at (732) 596-2027.

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.