FINRA Online Workshops
Compliance Education Delivered Directly to Your Desktop
FINRA Online Workshops are interactive, online programs delivered right to your desktop.
The 90-minute workshops feature Web-based streaming video presentations, panel discussions with industry experts, and online resource materials that participants can access from their own computers. Audience members can choose to participate in the live, real-time versions of the programs or watch the “on-demand” versions at a later date.
Upcoming Live Online Workshops:
Customer Data Protection Issues for Small Firms 
On-Demand Programs:
Anti-Money Laundering Compliance
Anti-Money Laundering: Suspicious Activity Reporting
Compliance Considerations for New Products
Compliance Practices to Protect Senior Investors
Examination Program and Exam Priorities
FINRA's Online Workshops are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the Online Workshop does not constitute any NASD rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under NASD rules, the rules of any other SRO, or securities laws. Use of this Online Workshop does not create a safe harbor from regulatory responsibility. This Online Workshop is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the Online Workshops in any form, nor reference them in any publication, without the express written consent of FINRA.
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.
