Tag Archives: Conferences

2019 FINRA Small Firm Conference

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA senior staff. Agenda Please check this website frequently for updates—the conference agenda will be available at a later date. Location Fairmont Miramar Hotel & Bungalows, … Continue reading 2019 FINRA Small Firm Conference

SIFMA Annual Meeting

Each fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us on October 1-2, 2018 at the Mandarin Oriental, Washington DC for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.

2018 FINRA Annual Conference

Registration is now open for the 2018 FINRA Annual Conference. Join leaders of firms of all sizes, compliance professionals, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person … Continue reading 2018 FINRA Annual Conference

SIFMA Operations Conference and Exhibition

For 45 years, SIFMA’s Operations Conference & Exhibition has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges. As the industry continues to evolve – responding to regulatory changes, shortening the settlement cycle, tapping into the transformative potential of technology and driving smarter efficiencies – today’s … Continue reading SIFMA Operations Conference and Exhibition

Global Finance Forum

The 2nd annual Global Finance Forum is hosted by the American Investment Council (AIC), Futures Industry Association (FIA), Investment Company Institute (ICI), Managed Funds Association (MFA), Securities Industry and Financial Markets Association (SIFMA), and the U.S. Chamber of Commerce Center for Capital Market Competitiveness. In conjunction with IMF-World Bank spring meetings, the second annual Global … Continue reading Global Finance Forum

SIFMA C&L Annual Seminar

SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique opportunity for industry leaders and regulators to gather for three-days of information sharing, collaboration and networking. Throughout the program, participants will hear from the industry’s … Continue reading SIFMA C&L Annual Seminar

SIFMA Social Media and Digital Marketing Seminar

SIFMA’s Social Media Seminar is the leading forum for Business, Marketing and Compliance professionals in Wealth Management to explore how to maximize the use of social media platforms while adhering to an ever-changing compliance framework. The 2018 program will feature discussions with the leading names in social media and experts in financial services. Panelists and … Continue reading SIFMA Social Media and Digital Marketing Seminar

Listed Options Symposium

SIFMA’s Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the options market, and the challenges and opportunities facing investors and market participants. Participate in-person in New York City or via webcast.

2018 FINRA Annual Conference Early Registration

Registration is now open for the 2018 FINRA Annual Conference. Join leaders of firms of all sizes, compliance professionals, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person … Continue reading 2018 FINRA Annual Conference Early Registration

SIFMA FINTECH Conference

SIFMA’s FinTech Conference will bring together innovators and industry leaders to discuss the latest developments in robo advising, robotics, artificial intelligence, machine learning and blockchain experiments – and how these developments are changing the way firms understand and interact with their customers, manage risk, and run their operations. The impact of FinTech on the securities … Continue reading SIFMA FINTECH Conference

2017 FINRA Annual Conference

Registration is now open for the 2017 FINRA Annual Conference. Join leaders of firms of all sizes, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person registrants before … Continue reading 2017 FINRA Annual Conference

FINRA District 6 Dallas – District Compliance Events

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 11, 2017 9 … Continue reading FINRA District 6 Dallas – District Compliance Events

SIFMA Senior Investor Protection Regional Workshop

On May 2, SIFMA invites you for their second Regional Senior Investor Protection Workshop in Philadelphia, PA. Following the success of their first event last fall, this interactive program provides attendees with the opportunity to take a deeper-dive into the causes of cognitive decline, learn how to identify decline and exploitation, and learn practical ways … Continue reading SIFMA Senior Investor Protection Regional Workshop

SIFMA Fixed Income Market Structure Seminar

SIFMA’s   Fixed Income Market Structure Seminar brings together market participants and policymakers to discuss the latest regulatory and market developments in the fixed income markets. This half-day discussion will address the key questions and issues emerging from significant changes in market structure, including: Investment Grade New Issue Process:  How the process really works – from … Continue reading SIFMA Fixed Income Market Structure Seminar

SIFMA Equity Market Structure Conference

SIFMA  Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market structure leaders in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the U.S. stock market.

Canada-U.S. Securities Summit

Examine Key Issues Affecting the North American Capital Markets Join co-hosts, SIFMA and the Investment Industry Association of Canada (IIAC), at the 5th annual Canada-U.S. Securities Summit on April 20 in New York City. This half-day event convenes experts from Canada and the United States to discuss key economic, regulatory and political issues in the … Continue reading Canada-U.S. Securities Summit

FINRA Diversity Summit

FINRA’s Diversity Summit provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies and outreach efforts intended to leverage the benefits of building sustainable diversity and inclusion programs. The 2017 FINRA Diversity Summit took place on Wednesday, March 29 in … Continue reading FINRA Diversity Summit

2016 FINRA Small Firm Conference

The 2016 FINRA Small Firm Conference 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. Throughout the event, attendees have the opportunity to discuss … Continue reading 2016 FINRA Small Firm Conference

SIFMA’s Listed Options Symposium

SIFMA’s Listed Options Symposium is a New York City event that brings together industry leaders representing retail, market makers and institutional participants, as well as exchange and regulatory experts. Join us on November 3rd for a discussion on the state of the options market, and the challenges and opportunities facing this important market segment.

AICPA & SIFMA 2016 National Conference on the Securities Industry

The National Conference on the Securities Industry , hosted by the American Institute of CPAs (AICPA) and SIFMA’s Financial Management Society, provides essential updates on evolving securities regulations and compliance requirements. Hear from senior executives and regulatory policy-makers on October 19-20 in NYC as they discuss: A chief executive’s view of the securities industry Industry developments … Continue reading AICPA & SIFMA 2016 National Conference on the Securities Industry

2016 NSCP National Conference

2016 NSCP National Conference The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: Investment Advisers :: Investment Companies :: Municipal Advisors :: Private Funds Workshops, labs, and forum discussions are led by experienced industry veterans sharing the practical implementation of compliance policies and procedures. Special offerings: … Continue reading 2016 NSCP National Conference

SIFMA’s 13th Annual Global Corporate Actions Forum

Join SIFMA’s Corporate Actions Section for the 13th annual Global Corporate Actions Forum  in Boston. Connect with fellow industry professionals and hear from leading subject matter experts as they examine the latest challenges, regulations, and practices affecting the Corporate Actions community. This annual event provides valuable information on managing risk and improving processes, including: U.S. and … Continue reading SIFMA’s 13th Annual Global Corporate Actions Forum

SIFMA’s Next Gen Financial Advisors Seminar

SIFMA’s  Next Generation of Financial Advisors Seminar provides an opportunity for industry professionals to gather and discuss industry solutions to recruiting and training the next generation of financial advisors. Speakers and panelists will discuss innovative ideas and tactical approaches, including: Enhancing education: How can the industry increase college and university offerings to create a buzz … Continue reading SIFMA’s Next Gen Financial Advisors Seminar

SIFMA 2016 Annual Meeting

SIFMA’s 2016 Annual Meeting By popular demand, SIFMA’s Annual Meeting will return to our nation’s capital this fall for candid one-on-one conversations, in-depth breakout sessions and expert insights on the state of our capital markets and how we can retain their well-deserved reputation as the best in the world.  

SIFMA Compliance & Legal Society Regional Seminar

Join SIFMA members at the C & L Society Regional Conference on August 4 hosted at the Charles Schwab Conference Center in San Francisco. This one day seminar will feature presentations by leading securities regulators and industry professionals. The Charles Schwab Center is located at 211 Main Street, San Francisco, CA 94105. Discussion topics will include: A Discussion … Continue reading SIFMA Compliance & Legal Society Regional Seminar

2016 FINRA Annual Conference

There are two ways to participate: in-person or online. In-person: Marriott Marquis Washington, DC 901 Massachusetts Avenue, NW Washington, DC 20001 |Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare … Continue reading 2016 FINRA Annual Conference

SIFMA’s Anti-Money Laundering & Financial Crimes Conference

Celebrating its 16th year, SIFMA’s C&L Anti-Money Laundering & Financial Crimes Conference gathered more than 400 compliance and legal professionals from April 5-6 at the Marriott Marquis in New York City. Our new two-day  program featured practical insights from FINRA’s Bradley Bennett, Executive Vice President, Enforcement; Treasury’s Jennifer Fowler, Deputy Assistant Secretary for Terrorist Financing; … Continue reading SIFMA’s Anti-Money Laundering & Financial Crimes Conference

FINRA Small Firm Conference

The Small Firm Conference 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.

SIFMA Annual Meeting 2015

Leaders of the financial services industry will gather in the nation’s capital at the 2015 SIFMA Annual Meeting: The Capital Markets Conference to discuss  challenges and the ways the industry can continue to drive capital formation, job creation and economic growth. Click here for registration information.  

SIFMA Global Tax Reporting Symposium

The SIFMA Global Tax Reporting Symposium, providing in-depth perspective on financial services reporting and withholding in today’s global marketplace, will bring together industry and government experts to discuss three evolving tax compliance regimes: FATCA: Foreign Account Tax Compliance Act CRS: OECD Common Reporting Standard Section 871(m) of the Internal Revenue Code The symposium will explore … Continue reading SIFMA Global Tax Reporting Symposium

2016 FINRA Annual Conference: Special Discounted Registration Rate

Interested in getting a discounted registration rate on the 2016 FINRA Annual Conference May 23-25, 2016? FINRA is offering discounts for those who meet requirements before Oct. 1. The special discounted rate for the first 100 in-person registrants is non-refundable. For all other registration categories, a full refund—less a $150 processing fee—will be granted to … Continue reading 2016 FINRA Annual Conference: Special Discounted Registration Rate

2015 OFAC (Office of Foreign Assets Control) Fall Symposium

The 2015 OFAC Fall Symposium will be held in Washington, DC on September 22, 2015. The symposium will provide a comprehensive review of current U.S. economic sanctions. It will include presentations on OFAC regulations, as well as targeted reviews of sanctions concerns for new and updated OFAC-administered programs.

SIFMA: T + 2 Symposium

Stephen Luparello, SEC Director of Trading and Markets, will deliver the keynote address at the T+2 Symposium: The Road to a Shortened Settlement Cycle, in NYC on Sept. 17. Senior operations, technology, legal and compliance, risk, and corporate actions professionals, as well as service providers and regulators, will discuss the industry’s progression from the selection … Continue reading SIFMA: T + 2 Symposium

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 … Continue reading FINRA Small Firm Conference Registration – California

2015 FINRA Annual Conference

FINRA’s Annual Conference provides compliance professionals, securities attorneys, and other industry leaders with the opportunity to hear regulatory priorities and share compliance solutions. Click here for further details. FINRA Annual Conference May 27 – 29, 2015 Washington, DC Registration is now open to attend the 2015 FINRA Annual Conference in person or via live broadcast. The … Continue reading 2015 FINRA Annual Conference