FINRA Small Firms Conference – Hybrid
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules
Tag Archives: FINRA Conferences
2024 FINRA Annual Conference
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 2024 FINRA Annual Conference
FINRA District 8 (Chicago) AML Seminar
FINRA District 4 (Kansas City) Half-Day Compliance Boot Camp
FINRA District 6 (Dallas) Half-Day Compliance Boot Camp
District 7 (Atlanta) District Compliance Meeting
FINRA District 2 (Los Angeles) Compliance Meeting
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 … Continue reading 2019 FINRA Small Firm Conference
2018 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 … Continue reading 2018 FINRA Small Firm Conference
FINRA 2018 Fixed Income Conference
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Location InterContinental New York Times Square 300 West 44th Street New … Continue reading FINRA 2018 Fixed Income Conference
FINRA 2018 Fixed Income Conference
FINRA’s Fixed Income Conference on Sept. 13, 2018 focuses on current market impacts on fixed income, and how regulators and firms are responding. Location InterContinental New York Times Square 300 … Continue reading FINRA 2018 Fixed Income Conference
2018 FINRA Diversity Summit
Promising New Directions: Where Are We and Where Should We Be? April 17, 2018 8:00 a.m. – 3:30 p.m. New York, NY (Midtown) FINRA’s Diversity Summit provides a forum for … Continue reading 2018 FINRA Diversity Summit