FINRA Small Firms Conference – Hybrid
Chicago, IL Chicago, IllinoisThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules
6 events found.
FINRA
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2025 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 including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.
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FINRA Small Firms Conference – Hybrid Event
Dallas, TXThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
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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.
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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 interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics.
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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 including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.