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 … 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 … Continue reading NSCP National Conference
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 … Continue reading SILA – National Education Conference
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 … Continue reading FINRA Compliance Outreach Program for Municipal Advisors and Municipal Dealers – Virtual Event
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 … Continue reading 2026 FINRA Annual Conference