FINRA Small Firm Conference On-Demand Sessions
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.
The Small Firm Conference took place on November 8 – 9, 2017. Recordings of all sessions are available to FINRA member firms and CRCP graduates. View all of the video recorded sessions from the 2017 FINRA Small Firm Conference, and receive access to all conference materials. View the conference brochure for a list of all sessions and their descriptions.
Register to view/listen to the sessions
Registration is now open for the 2018 Small Firm Conference in Santa Monica, CA, on November 7 – 8. Reduced rates are available for the first 50 in-person registrants before 8/31/2018.
For registration or technical questions, please call (202) 728-6980 or via email.
FINRA's conference sessions are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the conference does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this recording does not create a safe harbor from regulatory responsibility. This on-demand program is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the sessions in any form, nor reference them in any publication, without the express written consent of FINRA.