Conferences & Events
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.
FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals. Many of these educational offerings qualify for CPE and CLE credits.
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
2019 Annual Conference: Brochure
FINRA’s Institutional Conference brings together industry experts, executives and policymakers to share their specialized knowledge and experiences on topics affecting institutional firms across the country.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
2018 Small Firm Conference: Brochure
FINRA’s Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information and effective strategies and solutions for protecting senior investors and vulnerable adults.
2018 Conference: Brochure
2018 FINRA New York Region Member Forum: Agenda
2019 RegTech Conference: Brochure
2019 West Region Member Forum: Agenda
2019 South Region Member Forum: Agenda
2019 North Region Member Forum: Agenda
Learn more about the new CRD system during a virtual overview of current functionality on Wednesday, March 27, from 1 – 2 p.m., ET. Space is limited; please register early.
A forum for diversity practitioners and business leaders in the industry to share effective practices for diversity and inclusion in the workplace.
2019 FINRA Diversity Summit: Agenda
Co-sponsored by the SEC, MSRB and FINRA, this free one-day program provides a forum for municipal advisory industry professionals to discuss current compliance practices with regulators and promote a more effective compliance structure for regulatory obligations of municipal advisors
2019 Boot Camp Schedule Now Available
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