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.

 

 

Events

 

CCOutreach Program 

Co-sponsored by the SEC and FINRA, this program is intended to foster communication about compliance risks and effective compliance controls, with the goal of helping CCOs foster strong compliance programs within their firms 

 

District Preventive 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.

 

 

Online Workshops

Compliance Education Delivered Directly to Your Desktop. 

 

Upcoming events: none

  

View Archived Events

 

 

Conferences

 

Advertising Regulation Conference
October 2-3, 2008 • Washington, DC

 

FINRA's annual Advertising Regulation Conference provides practical guidance on compliance with advertising rules and regulations.

 

Securities Conferences—Spring and Fall

October 22–24, 2008 • Carlsbad, CA

May 6–8, 2009 • Boston, MA

May 26–28, 2010 • Baltimore, MD

 

FINRA's annual Fall and Spring Securities Conferences provide comprehensive updates on securities industry rules, regulations and compliance issues.

 

The Regulatory Roundtable on Aging Investors was recorded at the 2007 FINRA Fall Securities Conference. The program runs 75 minutes in length.

 

Small Firm Conference Series 
September 23, 2008 • Chicago, IL

The FINRA Small Firm Conference series is designed to address regulatory requirements and compliance practices from a small firm perspective.

 

NY Regulation and Compliance Conference
September 9, 2008 • New York, NY

FINRA's annual Regulation and Compliance Conference addresses regulatory requirements and compliance practices of firms with complex, multi-line businesses.

 

Fixed Income Conference

Spring 2009

 

FINRA's annual Fixed Income Conference addresses regulatory requirements and compliance challenges for firms engaged in debt securities transactions.

 

View our Conferences and Classroom Learning by event date.

Questions or Comments? Contact Us  

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.