FINRA Small Firms Conference – Hybrid Event
Dallas, TXThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
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
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