The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and … Continue reading SIFMA – Annual Conference
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules
The 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 … Continue reading NSCP National Conference
The 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 … Continue reading 2025 FINRA Annual Conference
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
SIFMA'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 … Continue reading SIFMA – Annual Meeting
The 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 … Continue reading NSCP National Conference
The 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 … Continue reading SILA – National Education Conference
A one-day, hybrid event that will focus on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
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 … Continue reading FINRA Compliance Outreach Program for Municipal Advisors and Municipal Dealers – Virtual Event
NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share … Continue reading NSCP Interactive Compliance Labs – New York
NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share … Continue reading NSCP Interactive Compliance Labs – Chicago
The 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 … Continue reading 2026 FINRA Annual Conference
NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share … Continue reading NSCP Interactive Compliance Labs – Dallas
SIFMA’s Annual Meeting is an invitation-only gathering that convenes the most influential voices in public policy and finance to examine the issues and opportunities shaping the markets, the industry, and … Continue reading SIFMA – Annual Conference
The 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 … Continue reading NSCP National Conference
The 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 … Continue reading SILA – National Education Conference
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules
The 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 … Continue reading 2027 FINRA Annual Conference