Education and Compliance Programs
Register today for FINRA's upcoming AML Half-Day Seminar, which takes place November 6 in Boca Raton. The seminar is designed for AML compliance professionals from firms of all sizes who are new to their role, or who are looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
Visit FINRA's website to learn more and to register.
Register today for an upcoming Member Forum in your region to engage in key discussions with FINRA staff and industry peers around the future landscape of the financial services industry. There is no cost to attend the forums.
The FINRA Small Firm Conference is sold out and we currently have a waitlist. If you are looking for other educational offerings, register today for the 2019 FINRA Annual Conference—which includes sessions designed specifically for small firms.
The Annual Conference takes place May 15-17, 2019 in Washington, DC. Reduced rates are available for the first 500 in-person registrants before March 29, 2019. Register today.
Equities & Fixed Income Small Firm Compliance Workshop
Tuesday, October 23, 2018
2 p.m. to 4 p.m. ET
FINRA Market Regulation is hosting a free two-hour compliance workshop to discuss regulatory issues impacting small firms that trade in the equities and fixed income markets. Topics include compliance-related areas of concern within the equities and fixed income industries, and changes in FINRA processes, particularly as they relate to small firms. FINRA Market Regulation staff, representing different practice areas, will be available to answer questions.
Participants can attend in-person at FINRA's office at One Liberty Plaza in New York or participate over the phone. Pre-registration is required.
Register for the workshop.
District compliance events are designed for compliance and legal professionals at FINRA member firms, and offer an opportunity to hear about current regulatory issues while engaging with District Office staff.
Review the list of upcoming events being held in the San Francisco and Denver districts. To see a complete list of events that may be in your area, review the compliance calendar.
FINRA is hosting several upcoming Half-Day Compliance Boot Camps across the country, each with different areas of focus. Visit FINRA's website for more information and to register.
Upcoming Half-Day Compliance Boot Camps:
- October 24 | New York, NY
Also coming up: