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 issues with FINRA senior staff.
View the agenda for the 2019 Small Firm Conference.
Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401
FINRA has secured an overflow block at the Huntley Santa Monica Beach Hotel at the room rate of $359 plus tax per night. The rate is available until October 7, 2019, or until the room block is sold out. Reserve your room by calling the Huntley at 888-532-5155 and identify yourself as an attendee of FINRA's 2019 Small Firm 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.
The Small Firm Conference is sold out. There is a waitlist for this event.
Group Rates* (Per Person)
*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, an evening reception on Wednesday, and continental breakfast and lunch on Thursday.
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.
Full refunds for registration fees, less a $50 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 9, 2019.
FINRA has a limited number of exhibitor opportunities available for this conference. To secure your participation, contact Jeffrey Arcuri at (508) 759-8180 or via email to request a conference exhibitor package.
Please direct questions about registration to (800) 321-6273 or via email.
This event is not open to the media.