Conferences & Events
COVID-19: A Message From FINRA
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.
FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals. Many of these educational offerings qualify for CPE and CLE credits.
Upcoming Conferences and Events
Financial Crimes Spotlight Webinars
The Financial Crimes Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on how to detect and protect against emerging financial crimes and cyber-related threats and trends.
FBI Cyber Threat Briefing Series: West Region
December 5, 2024 • Virtual
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.
Get SET State Examiner Training
January 23, 2025 • San Antonio, TX • In-Person Event
FINRA and NASAA are bringing securities regulators together for a joint in-person conference dedicated to training state securities examiners on conducting broker-dealer exams.
2025 Annual Conference
May 13 – 15, 2025 • Washington, DC • Hybrid Event
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
2025 Small Firm Conference
October 9 – 10, 2025 • Dallas, TX • Hybrid Event
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 topics with FINRA senior staff.
Past Events and On-Demand Sessions
2024 Compliance Outreach Program
Co-sponsored by the SEC, MSRB and FINRA, this hybrid program will provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.
Virtual Diversity Leadership Summit
A forum for diversity practitioners and industry leaders to share effective practices for full inclusion in the workplace.
2024 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 topics with FINRA senior staff.
2024 Advertising Regulation Conference
This two-day hybrid event offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals on communications topics including new rules, effective practices, regulatory priorities and emerging technologies.
Small Firm Conference Call: Succession Planning
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the importance of succession planning and a new compliance resource for small firms to use when undertaking this process.
FINRA Webinar: Customer Information Request Overview
Join this webinar for an overview of the Customer Information Request that was sent to member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
2024 Annual Conference
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
FBI Cyber Threat Briefing Series
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.
FINRA Webinar: Remote Inspections Pilot Program
FINRA senior staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program. This session will review frequently asked questions we’ve received, the open enrollment and opt-out periods, and the data and information requirement for the program.
FINRA Webinar: Operationalizing Residential Supervisory Location Designations
FINRA senior staff will host this one-hour webinar to discuss the operational process of the Residential Supervisory Location (“RSL”) designation. This session will review frequently asked questions we’ve received, including differences between RSLs and other non-branch locations, scenarios regarding when to engage MAP due to the increase in locations, and additional information regarding implementation of this rule.
2024 Fixed Income Examination and Investigation Priorities Webinar
FINRA Member Supervision and Market Regulation and Transparency Services staff come together to provide insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities.
Webinar: FINRA Membership & Information Session for Proprietary Trading Firms
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Compliance Workshops
Compliance Workshops are either virtual or in-person informal, interactive learning opportunities that provide 2-3 hours of in-depth educational content on key compliance topics.
2024 Cybersecurity Conference
February 6 • New York, NY • Hybrid Event
FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
FBI Cyber Threat Briefing Series
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.
FINRA Virtual Diversity Leadership Summit
October 31 – November 2 • Virtual
A forum for diversity practitioners and industry leaders to share effective practices for diversity, equity and inclusion in the workplace.
Senior Investor Protection Conference
March 27, 2023
The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of the rules on financial exploitation of specified adults, a regulatory roundtable, information about trends, scams and schemes, and more. The conference also offers opportunities to network and discuss issues specific to senior investors with FINRA staff and industry practitioners.
Get SET - State Examiner Training
January 25 – 26, 2023
FINRA and NASAA are bringing securities regulators together for a joint virtual conference dedicated to training state securities examiners on conducting broker-dealer exams.
Additional Virtual Events
FBI Cyber Threat Briefing Series
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.
FINRA Registration Systems Foundation Virtual Training
FINRA Registration Systems Foundation Training includes two half days of virtual training for firms on FINRA Gateway and related systems. This training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and submitting Uniform Forms (U4, U5, BR, BD). The format of the training will be live system demonstration via Zoom webinar.
Fraud Spotlight Webinars
The Fraud Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on emerging financial crimes, threats and trends.
Small Firm Conference Calls
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Conference Call, a free series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
Virtual Conference Panels
Virtual conference panels provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts.
Webinars
FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.
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