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District 6 (Dallas) Compliance Meeting

September 4, 2013

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

Date Event Location and Venue Fees Registration
September 4, 2013
1:30 p.m. – 4 p.m.
District Compliance Meeting San Antonio Marriott Rivercenter
(Meeting Rooms 17 and 18)
101 Bowie Street
San Antonio, TX 78205
Free Register


Topics for Discussion:

  • New FINRA examination process and priorities
  • Enforcement and surveillance updates
  • Member Relations update
  • District committee updates


More District events are being added on a regular basis. Check this page frequently for additional programs and other program updates.


Registration and Information
District Compliance Events are open only to employees of FINRA member firms. Participants must provide their firm’s broker-dealer number when registering.


To register for a District Compliance Event, use the appropriate registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program. On-site registrations are provided on a space-available basis and payment must be made by check.


Registration Confirmation: You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

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


Cancellation Policy

If you are no longer able to attend this event please send a cancellation request via email.

Questions: Contact Judy Graham at (972) 716-7607.


September 4, 2013
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