Charlotte Convention Center
501 S. College Street, Charlotte, NC
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 & Venue Fees Registration May 31, 2017 9 … Continue reading FINRA District 7 Atlanta – District Compliance Events→
Designed for compliance and legal professionals, 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. June 28, 2017 9 a.m. – 10:30 a.m. District Compliance Meeting United Federation of Teachers … Continue reading FINRA District Compliance Meeting: New York, NY – District 10 (New York)→
West Des Moines Marriot
1250 Jordan Creek Parkway, West Des Moines, IA
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. Thursday, September 14, 2017 9 a.m. – 12 p.m. District Compliance … Continue reading District Compliance Meeting – District 4 Kansas City→
Change is coming for investment adviser compliance professionals. Substantial Form ADV changes come with an October deadline and the knowledge that the new data collected will assist the Commission in selecting exam targets. SEC exams are up 25% in the first half of FY 2017. The DOL rule has already wrought significant change regardless of … Continue reading Commitment to Compliance Conference→
DoubleTree Hotel St. Louis at Westport
1973 Craigshire, St. Louis, MO
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. Wednesday, September 20, 2017 9 a.m. – 12 p.m. District Compliance … Continue reading District Compliance Meeting – District 4 Kansas City→
The Westin Ft. Lauderdale
400 Corporate Drive, Ft. Lauderdale, FL
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. September 27, 2017 9 a.m. – 12 p.m. District Compliance Meeting Fort Lauderdale The Westin Fort Lauderdale 400 Corporate Drive Fort Lauderdale, FL … Continue reading District Compliance Meeting – District 7 Boca Raton, Florida→
Hilton Del Mar
15575 Jimmy Durante Blvd., Del Mar, CA
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. October 5, 2017 1:30 p.m. – 3:30 p.m. District Compliance Meeting … Continue reading District Compliance Meeting – District 2 – Del Mar California→
Tempe Mission Palms Hotel
60 East Fifth Street, Tempe, AZ
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. October 13, 2017 12 p.m. - 2 p.m. District Compliance Event … Continue reading District Compliance Meeting – District 3 – Tempe, Arizona→
Designed for compliance and legal professionals, 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. October 24, 2017 9 a.m. – 10:30 a.m. District Compliance Meeting United Federation of Teachers … Continue reading FINRA District Compliance Meeting – District 10 New York→
Federal Reserve Bank of Boston
600 Atlantic Avenue, Boston, MA
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. October 25, 2017 9:30 a.m. – 12:30 p.m. District Compliance Meeting … Continue reading FINRA District Compliance Meeting – District 11 Boston→
Omni Richmond Hotel
100 S. 12th Street, Richmond, VA
District 9 - Philadelphia Half-Day Compliance Boot Camp June 12, 2018 8:30 a.m. - 1:30 p.m. Omni Richmond Hotel 100 S. 12th Street Richmond, VA 23219 (804) 344-7000 Topics Effective Practices for Working With Senior Investors Social Media
FINRA Chicago District Office
55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Bootcamp – District 8 – Chicago→
Atlanta District Office
One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta→
Renaissance Seattle Hotel
515 Madison Street, Seattle, WA
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp – District 3 – Denver→
Hilton Del Mar
15575 Jimmy Durante Blvd., Del Mar, CA
August 9, 2018 9:00 a.m. - 1:00 p.m. Hilton San Diego Del Mar 15575 Jimmy Durante Blvd. Del Mar, CA 92014 (858) 792-5200 Topics Supervision Social Media
The Westin Southfield Detroit
1500 Town Center, Southfield, MI
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit→
FINRA Dallas District Office
12801 North Central Expressway, Suite 1050, Dallas, TX
Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Half-Day Compliance Boot Camp – District 5 – Dallas→
Stamford Marriot Hotel
243 Tresser Blvd., Stamford, CT
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp – District 11 – Boston→
FINRA District Office Jericho, N. Y.
Two Jericho Plaza
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp District 10 – Long Island→
