Education and Compliance Programs
The next Options Industry Regulatory Conference takes place Tuesday, December 4, 2018, at 2 p.m. ET. During the meeting, FINRA surveillance and examination staff will discuss regulatory priorities and recent findings. To register, please click on the link below and follow the detailed instructions. You will have a choice of attending in person or telephonically; you must register to obtain a dial in phone number.
FINRA is hosting a CTCI migration conference call on Wednesday, Dec. 5, 2018, 2-3 p.m. Eastern Time, to discuss the upcoming migration. Effective Feb. 3, 2020, FIX will be the only protocol supported for reporting trades to FINRA's TRACE and ORF platforms. Register for the call to learn:
- the steps that firms will need to take to successfully complete the migration;
- where to find documentation;
- about network and application testing for direct connections as well as for firms reporting via a service bureau; and
- where to get support.
The call will be in listen-only mode. Questions may be submitted prior to or during the call to [email protected].
Register today for FINRA’s new RegTech Conference—a forum for regulators, thought leaders and industry practitioners to learn more about the use of RegTech tools, and related opportunities and challenges.
The conference takes place January 17 in New York City. Download the schedule-at-a-glance, which includes the full agenda and session descriptions.
Register early for the Annual Conference, which 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.
Register today for the 2019 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program— comprised of two weeklong residential courses, which are delivered at Georgetown University's McDonough School of Business in Washington, DC. This program provides an executive educational experience that covers the theory and practical application of securities laws and regulation through intensive instruction, discussion and case studies.
Watch our latest video to learn more about the CRCP® program and get answers to the most frequently asked questions about the program. Visit FINRA's website for additional details and registration information.