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.

Conferences

Advertising Regulation Conference
October 8-9, 2015 • Washington, DC
FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with advertising rules and regulations for communications with the public.

2015 Small Firm Conference
November 11–12, 2015 • Santa Monica, CA
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.

South Region Compliance Seminar
December 2–3, 2015 • New Orleans, LA
The FINRA South Region Compliance Seminar provides compliance and legal professionals in the South Region an opportunity to discuss important regulatory and compliance issues and solutions with industry peers and regulators.

2016 Annual Conference
May 23-25, 2016 • Washington, DC
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.

 

Past Conferences – Access Materials and Session Recordings

Annual Conference
The 2015 conference was designed to help participants—both seasoned compliance veterans and those new to the industry—navigate toward a strong culture of compliance.

FINRA Diversity Summit
A forum for diversity practitioners and business leaders in the industry to share diversity and inclusion best practices that link business goals to the workplace and the marketplace.

Fixed Income Conference
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding.

Cybersecurity Conference
FINRA and SIFMA’s join forces to host a full-day conference dedicated to discussing important issues around cybersecurity.

Events

District Compliance Events
Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

Compliance Boot Camps
FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.

Compliance Outreach Program
Co-sponsored by the SEC and FINRA, this program provides a forum to discuss compliance issues, to share experiences and to learn about effective compliance practices.

Phone-In Workshops
FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics.

Foundations of Web CRD/IARD Training
Designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.


Questions or Comments? Contact Us

Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.