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


2019 Institutional Conference

September 11, 2019 • New York, NY
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.

2019 Institutional Conference: Agenda

2019 FINRA District Compliance Seminar With the State of Pennsylvania

October 16, 2019 • Harrisburg, PA
FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices.

2019 Small Firm Conference

October 23 – 24, 2019 • Santa Monica, CA
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.

2019 Small Firm Conference: Agenda 

2019 Advertising Regulation Conference

October 24 - 25, 2019 • Washington, DC
FINRA's Advertising Regulation Conference provides a forum for practical guidance on complying with the advertising rules, updates on new developments in communications compliance, and the opportunity to meet and learn from industry and FINRA experts.

2019 Senior Investor Protection Conference

November 12, 2019 • Washington, DC
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.

2020 Annual Conference

May 12 – 14, 2020 • 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.

2019 Annual Conference: Brochure | Free On-Demand Session Recordings for FINRA Members CRCP Graduates

Cybersecurity Conference

FINRA's Cybersecurity Conference provides a forum to learn the fundamentals and take a deeper dive into key areas of cybersecurity.
Cybersecurity Conference: 2018 Brochure

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.

Fixed Income Conference

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

FINRA Disclosure Reporting, Monitoring and Registration Conference

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: Brochure

FINRA New York Region Member Forum

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

RegTech Conference

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

West Region Member Forum

The FINRA West Region Member Forum is a one-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 forum also includes thoughtful discussions around the future landscape of the financial services industry.

2019 West Region Member Forum: Agenda

South Region Member Forum

The South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South 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.

2019 South Region Member Forum: Agenda

North Region Member Forum

The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North 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.

2019 North Region Member Forum: Agenda

2019 Annual Conference

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.

2019 Annual Conference: Brochure

Events


Get SET – State Examiner Training

September 26, 2019 • Los Angeles, CA
FINRA, the California Department of Business Oversight and NASAA are bringing state securities regulators together for a joint conference dedicated to training examiners on conducting broker-dealer exams. This collaborative, one-day event focuses on strategies and solutions to help examiners strengthen their skills.

National Compliance Outreach Program for Broker-Dealers

Co-sponsored by the SEC and FINRA, this free one-day program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure.

Compliance Outreach Program for Municipal Advisors

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

FINRA Diversity Summit

A forum for diversity practitioners and business leaders in the industry to share effective practices for diversity and inclusion in the workplace.

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.

2019 Boot Camp Schedule Now Available

Cybersecurity Half-Day Seminars

FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.

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.

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.>

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