FINRA Small Firm Conference Registration – California

Registration is now open for FINRA’s Small Firm Conference, which focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Topics featured at least year’s inaugural conference include supervision, suitability, anti-money laundering and outside business activities, among others.