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 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 … Continue reading 2018 FINRA Diversity Summit
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 York, NY 10036 (214) 803-4500 Accommodations A room block is available at the InterContinental New York Times Square hotel at the special rate of $389 … Continue reading 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 West 44th Street New York, NY 10036 (214) 803-4500 Accommodations A room block is available at the InterContinental New York Times Square hotel at the … Continue reading FINRA 2018 Fixed Income 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. Location Fairmont Miramar Hotel & Bungalows, Santa Monica 101 Wilshire Boulevard Santa Monica, CA 90401 Tel: (866) 964-7262 Accommodations A room block has been … Continue reading 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 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
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 including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules