2017 South Region Compliance Seminar

2017 South Region Compliance Seminar

The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues. Throughout the event, staff members from the Atlanta, Boca Raton, Dallas and New Orleans offices, as well as other FINRA senior staff, will be available to discuss matters of interest with you.

FINRA Member Registration
Non-FINRA Member Registration

Download the 2017 South Region Compliance Seminar Brochure


Marriott Harbor Beach Resort and Spa
3030 Holiday Drive
Fort Lauderdale, FL 33316
(954) 525-4000


A room block has been added at the Marriott Harbor Beach Resort and Spa, located at 3030 Holiday Drive, Fort Lauderdale, FL 33316. The room rate of $219, plus tax per night, is available until November 6, 2017, or until the room block is sold out.

Hotel reservations will then be accepted on a space- and rate-available basis. Reserve your hotel room online or call 800-222-6543 and identify yourself as an attendee of the 2017 FINRA South Region Compliance Seminar.

Registration and Fees

In-Person First 50 Through September 7 50+ or After September 7
FINRA Member $550 $650
Non-Member $995 $1,195
Government/Regulator $450 $550
Group Rate (Per Person)* First 50 Through September 7 50+ or After September 7
FINRA Member $450 $550
Non-Member $950 $1,050

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

Seminar fees include attendance to all sessions and conference materials, lunch and a reception on Wednesday, continental breakfast on Thursday and refreshment breaks.

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.


Full refunds for registration, 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 November 22, 2017.

CRCP CE Credit

Graduates of the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program may receive CRCP CE credits.

Additional Information

Please direct questions about registration to (202) 728-6980 or via email.

Only the FINRA Annual Conference is open to journalists. All other FINRA conferences, webinars, compliance boot camps, phone-in workshops and FINRA Institute at Wharton are closed to journalists.