FINRA’s Conferences for Fall 2016

FINRA offers securities and compliance professionals valuable education and training opportunities, particularly in compliance and regulatory matters. FINRA’s conferences and educational events keep securities and compliance professionals informed about recent and upcoming regulatory and rules developments as well as FINRA’s priorities and practical guidance on compliance issues.

FINRA’s conference provide you with the unique opportunity to stay current on rules and regulations in a setting designed to promote timely learning and information sharing with industry peers, regulators, and other financial services professionals.

FINRA’s conferences and educational events also provide the opportunity to learn about the most up-to-date compliance information directly from industry and regulatory experts.  As a bonus, many of these educational conferences and events qualify for CPE and CLE credits.

Below is information regarding three important upcoming events happening in the Fall of 2016.

FINRA Fixed Income Conference

FINRA’s Fixed Income Conference will take place in New York, NY on September 7, 2016.  This conference focuses on current market impacts on fixed income, and how regulators are responding.  The featured topics are:

  • Evolving Bond Market Structure
  • Key FINRA Regulatory Developments
  • Pricing and Best Execution Requirements

FINRA/SIFMA Senior Investor Protection Conference

FINRA and SIFMA will band together to host a conference focusing on issues related to senior investor protection in Washington, DC on October 20-21, 2016.  Specifically, this event focuses on strategies and solutions to help financial professionals strengthen their roles as the first lines of defense against threats to this vulnerable group of the investing public. Some of the topics include:

  • Understanding the Aging Decision Maker
  • Communicating with Elder Clients
  • Training to Work With Aging Investors
  • Opportunities to Ask the Experts Your Questions

FINRA Small Firm Conference

FINRA’s Small Firm Conference will take place in Phoenix, AZ on November 9-10, 2016.  This event 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.

For more information related to these events and other education and training related opportunities hosted by FINRA, please click here.

 

 

 

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