Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

2019 FINRA 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 issues with FINRA senior staff.


Agenda

View the online brochure for the 2019 Small Firm Conference.


Location

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


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.