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 Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
2017 Small Firm Conference: Brochure
The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues.
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.
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.
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.