2018 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.

The Small Firm Conference is sold out and we currently have a waitlist. If you are looking for other educational offerings, please consider registering for the 2019 FINRA Annual Conference—which includes sessions designed specifically for small firms.

Agenda

View the schedule at-a-glance and the conference brochure for the 2018 Small Firm Conference.

Location

Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401
Tel: (866) 964-7262

Accommodations

The room block at the Fairmont Miramar Hotel and Bungalows is sold out. FINRA has secured a room block at the Huntley Santa Monica Beach Hotel, located at 1111 Second Street in Santa Monica. The room rate of $349, plus tax per night, is available until October 19, 2018, or until the room block is sold out.

Hotel reservations will be accepted on a space-and rate-available basis. Reserve your room by calling the Huntley Santa Monica Beach Hotel at (888) 532-5155 and identify yourself as an attendee of FINRA's 2018 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.

In-Person Rates

FINRA Member (Small Firm)
must provide valid CRD #
$495
$395 - First 50 thru 8/31/2018
$495 - 50+ or After 8/31/2018
REGISTER
Government/State
 
$495
$395 - First 50 thru 8/31/2018
$495 - 50+ or After 8/31/2018
REGISTER
Non-Member
 
$1,195
$995 - First 50 thru 8/31/2018
$1,195 - 50+ or After 8/31/2018
REGISTER

Group Rates* (Per Person)

FINRA Member (Small Firm)
must provide valid CRD #
$370
$270 - First 50 thru 8/31/2018
$370 - 50+ or After 8/31/2018
REGISTER
Non-Member
 
$1,010
$850 - First 50 thru 8/31/2018
$1,010 - 50+ or After 8/31/2018
REGISTER

*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.

Refunds

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 24, 2018.

Exhibitor Opportunities

The exhibitor showcase for the Small Firm Conference is sold out. Please contact Jeffrey Arcuri at (508) 759-8180 or via email for other exhibitor opportunities.

Additional Information

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

This event is not open to the media.