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2020 FINRA Small Firm Conference

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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.


Agenda

The agenda for the 2020 Small Firm Conference will be posted at a later date. 


Start/End Times

  • The first session begins on Wednesday, November 11, at 2 p.m. PST
  • The last session ends on Thursday, November 12, at 4 p.m. PST 

Location

Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401


Accommodations

A room block is available at the Fairmont Miramar Hotel & Bungalows, Santa Monica at the following room rates:

  • Run of the House $349 per night, plus tax, and
  • Deluxe Ocean View $389 per night, plus tax.

The rates are available until October 20, 2020, or until the room block is sold out.  

Room Reservation Process for FINRA Programs

To reserve a room at the Fairmont Miramar Hotel & Bungalows, Santa Monica, you must first register as an attendee for the conference. A hotel reservation link will then be provided in your registration summary page and your registration confirmation email. Please contact us with any additional questions.
 


Register (Pricing)

In-Person Rates

FINRA Member (Small Firm)
must provide valid CRD #
$395
$395 - First 50 thru 6/26/2020
$495 - 50+ or after 6/26/2020
REGISTER
Non-Member
$995
$995 - First 50 thru 6/26/2020
$1,195 - 50+ or after 6/26/2020
REGISTER
Government/State
$395
$395 - First 50 thru 6/26/2020
$495 - 50+ or after 6/26/2020
REGISTER

Group Rates* (Per Person)

FINRA Member (Small Firm)
must provide valid CRD #
$270
$270 - First 50 thru 6/26/2020
$370 - 50+ or after 6/26/2020
REGISTER
Non-Member
$850
$850 - First 50 thru 6/26/2020
$1,010 - 50+ or after 6/26/2020
REGISTER

*Available to firms registering three (3) or more employees at the same time with the same credit card. Please follow instructions in the registration system.

Conference fees include attendance to all sessions and conference materials, scheduled breakfast, lunches and receptions.

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

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


Refunds

Full refunds for registration fees, less a $75 processing fee, will be granted to written requests received 14 days or more prior to the start of the conference. We regret that refunds will not be granted after October 28, 2020.


Exhibitor Opportunities

FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri via email to request a conference exhibitor package.


Additional Information

Please direct questions about registration to (800) 321-6273 or via email.

This event is not open to the media.

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.