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2017 FINRA Small Firm Conference

November 8, 2017 - November 9, 2017

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA senior staff.


Fairmont Miramar Hotel & Bungalows, Santa Monica
101 Wilshire Boulevard
Santa Monica, CA 90401
Tel: (866) 964-7262


A room block has been added at the Fairmont Miramar Hotel and Bungalows, Santa Monica located at 101 Wilshire Boulevard, Santa Monica, CA 90401. The room rate of $320, plus tax per night, is available until October 17, 2017, or until the room block is sold out.

Hotel reservations will be accepted on a space-and rate-available basis. Reserve your hotel room online or call the Fairmont Miramar Hotel and Bungalows at (866) 964-7262 and identify yourself as an attendee of FINRA’s Small Firm Conference.

Registration and Fees

In-Person First 50 Through September 1 50+ or After September 1
FINRA Member $550 $695
Non-Member $995 $1,195
Government/State/Regulator $450 $550
Group Rate (Per Person)* First 50 Through September 1 50+ or After September 1
FINRA Member $475 $595
Non-Member $850 $1,010

*Available to firms registering three (3) or more employees at the same time with the same credit card. Please follow instructions in the registration system.

Conference fees include attendance to all sessions and conference materials, an evening reception on Wednesday, and continental breakfast and lunch on Thursday.

Conference registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment. Please make sure your registration has been confirmed prior to your arrival onsite at the conference.

Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the conference sell out or in the unlikely event that changes to the conference dates and/or location become necessary.


November 8, 2017
November 9, 2017
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Fairmont Miramar Hotel & Bungalows
101 Wilshire Boulevard
Santa Monica, CA 90401
+ Google Map
844- 275-8271
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