Firm Grouping Webinars
These four Firm Grouping Webinars are free 75-minute sessions that highlight key topics that were discussed during the 2023 FINRA Firm Grouping Conference, provide updates on top compliance considerations that are tailored to each firm grouping (Retail, Capital Markets & Investment Banking, Clearing & Carrying, Diversified and Trading & Execution) and offer opportunities for participants to ask questions to FINRA staff.
These events are open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's broker-dealer number when registering.
Upcoming Webinars:
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Tuesday, November 7 11:00 a.m. – 12:15 p.m. ET |
Firm Grouping: Trading and Execution |
REGISTER
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Tuesday, November 7 2:00 p.m. – 3:15 p.m. ET |
Firm Grouping: Retail |
REGISTER
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Wednesday, November 8 11:00 a.m. – 12:15 p.m. ET |
Firm Grouping: Capital Markets Investment Banking Services |
REGISTER
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Wednesday, November 8 2:00 p.m. – 3:15 p.m. ET |
Firm Grouping: Diversified, Carrying & Clearing |
REGISTER
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The webinar will include a Q & A portion. Please submit your questions in advance through registration or during the webinar using the Q&A feature.
Questions
Please direct registration questions to (800) 321-6273 or via email.