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 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: Brochure
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
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
2018 Small Firm Conference: Brochure
2018 Conference: Brochure
2018 South Region Member Forum: Agenda
2018 North Region Member Forum: Agenda
2018 FINRA New York Region Member Forum: Agenda
A forum for diversity practitioners and business leaders in the industry to share effective practices for diversity and inclusion in the workplace.
Due to the partial federal government shutdown, this event has been postponed.
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
Questions or Comments? Contact Us