FINOP Focus Webinar Series
This targeted educational series is designed specifically for Financial and Operations Principals (FINOPs) and compliance professionals. Each session delivers timely, practical guidance on regulatory updates and operational requirements that directly impact your firm's financial and operational compliance.
These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.
Upcoming Webinars
FINRA's Updated Financial and Operational Rules Interpretations
Tuesday, Nov. 4, 2025
1 p.m. to 1:30 p.m. ET
Tuesday, Nov. 4, 2025
1 p.m. to 1:30 p.m. ET
Annual Reporting Updates Part I
Monday, Nov. 17, 2025
1 p.m. to 1:30 p.m. ET
Monday, Nov. 17, 2025
1 p.m. to 1:30 p.m. ET
Annual Reporting Updates Part II
Thursday, Dec. 4, 2025
1 p.m. to 1:30 p.m. ET
Thursday, Dec. 4, 2025
1 p.m. to 1:30 p.m. ET
On Demand Recordings
On demand recordings of prior webinars are made available to FINRA member firms and CRCP graduates. Register to listen to sessions from the FINOP Focus series:
- Net Capital: Common Pitfalls for Small Firms – August 12, 2025