Firm Grouping Webinars
These four Firm Grouping Webinars are free 75-minute sessions that highlight key topics that were discussed during the 2023 FINRA Firm Grouping Conference, provide updates on top compliance considerations that are tailored to each firm grouping (Retail, Capital Markets & Investment Banking, Clearing & Carrying, Diversified and Trading & Execution) and offer opportunities for participants to ask questions to FINRA staff.
Recordings of sessions are available to FINRA member firms. Participants must provide their firm's broker-dealer number when registering to view the sessions.
Tuesday, November 7 11:00 a.m. – 12:15 p.m. ET | Firm Grouping: Trading and Execution | CRCP Graduate
FINRA Member Firms |
Tuesday, November 7 2:00 p.m. – 3:15 p.m. ET | Firm Grouping: Retail | CRCP Graduate
FINRA Member Firms |
Wednesday, November 8 11:00 a.m. – 12:15 p.m. ET | Firm Grouping: Capital Markets Investment Banking Services | CRCP Graduate
FINRA Member Firms |
Wednesday, November 8 2:00 p.m. – 3:15 p.m. ET | Firm Grouping: Diversified, Carrying & Clearing | CRCP Graduate
FINRA Member Firms |
Questions
Please direct registration questions to (800) 321-6273 or via email.