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


2018 Fixed Income Conference

September 13, 2018 • New York
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding.
 
2018 Fixed Income Conference: Brochure

2018 FINRA Disclosure Reporting, Monitoring and Registration Conference

October 9, 2018 • New York, NY
This one-day conference brings together compliance, supervision, and registration staff from broker-dealers and third-party vendors to discuss regulatory reporting requirements and industry practices related to firm registrations.

2018 Conference Agenda

2018 Small Firm Conference

November 7 – 8, 2018 • Santa Monica, CA
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.

2017 Small Firm Conference: Brochure | Free On-Demand Session Recordings for FINRA Members CRCP Graduates

2019 Annual Conference

May 15 – 17, 2019 • 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.

2018 Annual Conference: Brochure

Advertising Regulation Conference

FINRA's Advertising Regulation Conference provides a forum to hear about practical guidance on complying with advertising rules and new developments involving the communications rules, and the opportunity to gain guidance on the advertising standards from industry and FINRA experts.
 

New York Region Networking Seminar

The New York Region Networking Seminar 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.

Cybersecurity Conference

FINRA's Cybersecurity Conference provides a forum to learn the fundamentals and take a deeper dive into key areas of cybersecurity.
 

West Region Networking Seminar

The West Region Networking Seminar is a half-day event designed to provide financial professionals associated with FINRA member firms in the West region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services industry.

Midwest Region Member Forum

The Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry.
 

Events


The Small Firm Report Call

July 23, 2018 • 4:00 p.m. – 4:45 p.m. ET
Join FINRA for the second Small Firm Report, a free conference call series hosted by FINRA leadership that focuses on the unique regulatory challenges facing small firms. The discussion will include recent updates to FINRA rule proposals, including background checks and Rule 3110(e) and exam restructuring and the Securities Industry Essentials (SIE) Exam. The call will conclude with Q&A.

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.

AML Half-Day Seminars

FINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems.

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.

FINRA Registration and Disclosure Bootcamp

This training, designed for firm staff who are new to reporting Disclosure information in Web CRD, is focused on interpreting and complying with disclosure reporting requirements as well as “hot topic” securities registration issues.

Custom Web CRD Training

Contact FINRA’s Registration and Disclosure (RAD) Training team to discuss tailoring a training session to the needs of your firm.

National 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.

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.

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