Conferences & Events
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.
FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals. Many of these educational offerings qualify for CPE and CLE credits.
Upcoming Conferences and Events
FINOP Webinar: Net Capital – Common Pitfalls for Small Firms
August 12, 2025 • Virtual Event
Join FINRA's Office of Financial and Operational Risk Policy (OFORP) for this 30-minute session that focuses on common net capital challenges faced by small firms. FINRA staff experts share their expertise on maintaining net capital compliance, with special attention to US GAAP revenue recognition and accrual practices that frequently create financial compliance issues. The presentation will conclude with a Q&A session addressing participant questions.
Compliance Workshops
Various Dates and Times Available
Elevate your firm's preparedness with FINRA's hands-on workshops where you'll discuss essential topics, develop robust plans alongside industry peers, and receive actionable tips directly from FINRA staff and peers, or participate in our dynamic tabletop exercises to test your strategies through realistic scenarios with expert guidance. Register today for these limited-seat opportunities.
2025 Small Firm Conference
October 9 – 10, 2025 • Dallas, TX • Hybrid Event
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
2025 Cyber Crimes Conference (C3)
October 28, 2025 • Santa Monica, CA • Hybrid Event
FINRA’s Cyber Crimes Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
Compliance Outreach Program for Municipal Advisors and Municipal Dealers
November 18-19, 2025 • Virtual Event
Co-hosted by the SEC, MSRB and FINRA, this year’s program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors, including conflicts of interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics.
2026 Annual Conference
May 12 – 14, 2026 • Washington, DC
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
Past Events and On-Demand Sessions
Small Firm Briefing: FINRA Forward
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski have a conversation on FINRA Forward, including why we launched this series of initiatives, what small firms can expect next and how to continue to provide feedback.
Elder Financial Fraud Webinar: Identifying, Preventing, and Responding as a Financial Professional
Financial professionals have a crucial role in protecting elderly clients from financial fraud. NASAA, and FINRA are co-hosting this free webinar that offers practical, actionable strategies to help you identify common elder fraud schemes and learn about the tools available to help prevent and address suspected or detected fraud.
2025 Annual Conference
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
Financial Crimes Spotlight Webinar: Protect Your Firm From First-Party ACH Fraud
First-party Automated Clearing House (ACH) fraud in the securities industry typically occurs when a bad actor—a firm customer using their true identity—uses a brokerage account to initiate an ACH pull transaction from a bank with insufficient funds, or improperly claims that a fraudulent ACH transaction occurred. This webinar reviews a FINRA released Threat Intelligence Product (TIP) that highlights this type of fraud.
FINRA Webinar: How to Respond to FINRA Requests for Comment
FINRA recently released a number of Regulatory Notices that support the effort to modernize rules for member firms and associated persons. This webinar is designed to review the comment process, assist firms with how to comment and provide what type of information is helpful to receive in comments. FINRA staff share examples of the impact of comment letters and how they are used.
FINRA Webinar: 2025 Fixed Income Examinations and Investigations
FINRA Fixed Income Regulation, Member Supervision, and Market Regulation hosted a webinar to provide key insights and discuss areas of focus for 2025 examinations and investigations related to fixed income securities and municipal advisory activities. This free webinar assists firms in understanding what to expect in 2025, identifying areas where they can bolster their compliance practices, and obtaining guidance on questions related to fixed income securities and municipal advisory activities.
Small Firm Briefing: Insights From the Clearing and Introducing Firm Forum
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by member firm participants to provide an overview of the recently held Clearing and Introducing Firm Forum. The Forum, held in late 2024, brought together member firms to discuss challenges and opportunities associated with the relationship between clearing and introducing firms. Hear the topics that were covered and key takeaways.
FINRA Webinar: New/Updated Regulatory Notifications
In 2024, FINRA implemented streamlined and intuitive data entry process for firms’ Financial Notifications and Regulatory Notifications, which includes a new amendment function to help firms make updates and changes to forms. Join this webinar for a high-level overview of this implementation and a demonstration of the new forms.
Financial Crimes Spotlight Webinars
The Financial Crimes Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on how to detect and protect against emerging financial crimes and cyber-related threats and trends.
FINRA Webinars: Third-Party Vendor Request
Join these webinars for an overview of the Third-Party Vendor request. Hear why FINRA is requesting this information, how your data will be used and answers to frequently asked questions.
Get SET State Examiner Training
FINRA and NASAA are bringing securities regulators together for a joint in-person conference dedicated to training state securities examiners on conducting broker-dealer exams.
2024 Compliance Outreach Program
Co-sponsored by the SEC, MSRB and FINRA, this hybrid program will provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.
2024 Small Firm Conference
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
2024 Advertising Regulation Conference
This two-day hybrid event offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals on communications topics including new rules, effective practices, regulatory priorities and emerging technologies.
2024 Annual Conference
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
2024 Cybersecurity Conference
FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
2024 Fixed Income Examination and Investigation Priorities Webinar
FINRA Member Supervision and Market Regulation and Transparency Services staff come together to provide insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities.
Small Firm Briefing
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
FBI Cyber Threat Briefing Series
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.
FINRA Webinar: Customer Information Request Overview
Join this webinar for an overview of the Customer Information Request that was sent to member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
FINRA Webinar: Remote Inspections Pilot Program
FINRA senior staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program. This session will review frequently asked questions we’ve received, the open enrollment and opt-out periods, and the data and information requirement for the program.
FINRA Webinar: Operationalizing Residential Supervisory Location Designations
FINRA senior staff will host this one-hour webinar to discuss the operational process of the Residential Supervisory Location (“RSL”) designation. This session will review frequently asked questions we’ve received, including differences between RSLs and other non-branch locations, scenarios regarding when to engage MAP due to the increase in locations, and additional information regarding implementation of this rule.
Webinar: FINRA Membership & Information Session for Proprietary Trading Firms
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Additional Virtual Events
FINRA Registration Systems Foundation Virtual Training
FINRA Registration Systems Foundation Training includes two half days of virtual training for firms on FINRA Gateway and related systems. This training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and submitting Uniform Forms (U4, U5, BR, BD). The format of the training will be live system demonstration via Zoom webinar.
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