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.
The New York Region Member Forum is a half-day event designed to provide financial professionals associated with FINRA member firms in the New York region the opportunity to engage in key discussions with FINRA New York Regional staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services industry.
2018 FINRA New York Region Member Forum: Agenda
FINRA’s RegTech conference provides a forum for regulators, thought leaders and industry practitioners to learn more about the use of RegTech tools, and related opportunities and challenges.
2019 RegTech Conference: Agenda
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.
2018 Annual Conference: Brochure | Free On-Demand Session Recordings for FINRA Members CRCP Graduates
2018 Conference: Brochure
2018 South Region Member Forum: Agenda
2018 North Region Member Forum: Agenda
2018 Small Firm Conference: Brochure
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