FINRA Small Firms Conference – Hybrid Event
Dallas, TXThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
7 events found.
Conferences
SIFMA – Annual Meeting
Washington, DCSIFMA's 2025 Annual Meeting will take place from Monday, October 20 to Tuesday, October 21 at the Conrad Washington DC. This event gathers the most influential voices shaping the capital markets from a cross-section of public policy and finance to explore the issues and opportunities that matter most for the markets, the industry, and the economy. … Continue reading SIFMA – Annual Meeting
NSCP National Conference
Hyatt Regency Grand Cypress - Orlando, FLThe NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.
SILA – National Education Conference
New Orleans, LAThe Securities and Insurance Licensing Association (“SILA”) National Education Conference is a yearly event that provides education and networking opportunities for professionals in the insurance and securities licensing industries. The conference features industry speakers, interactive sessions, and an exhibitor fair.
FINRA Cyber Crimes Conference – Hybrid Event
Santa Monica, CAA one-day, hybrid event that will focus on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
FINRA Compliance Outreach Program for Municipal Advisors and Municipal Dealers – Virtual Event
Co-hosted by the SEC, MSRB and FINRA, this year’s program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors, including conflicts of interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics.
2026 FINRA Annual Conference
Washington, D.C. Washington, DC, United StatesThe Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.