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
FINOP Focus: Annual Reporting Requirements
Wednesday, Nov. 11
2 p.m. to 2:45 p.m. ET
Wednesday, Nov. 11
2 p.m. to 2:45 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:
- FINOP Issues— Enforcement Perspectives – September 17, 2026
- Open Contractual Commitments in Underwriting – A Net Capital Primer – June 17, 2026
- SEA Rule 15c3-3 Customer Protection Interpretive Updates and Common Pitfalls – April 7, 2026
- SEA Rule 15c3-3 Exemptions and Reporting – Feb. 23, 2026
- Annual Reporting Updates Part II – Dec. 4, 2025
- Annual Reporting Updates Part I – Nov. 17, 2025
- FINRA's Updated Financial and Operational Rules Interpretations - Nov. 4, 2025
- Net Capital: Common Pitfalls for Small Firms – Aug. 12, 2025