Browse the full capital markets conference schedule imported from your Squarespace events page. Each event includes the live event link plus centered Google Calendar and Microsoft Calendar actions.
This page includes all upcoming events extracted from Capital Markets Compliance Events.html.
Join the 2026 Investment Adviser Compliance Conference to explore SEC priorities, fiduciary oversight, cybersecurity expectations, and compliance strategies for RIAs and investment professionals.
The 2026 Investment Management Conference will return to JW Marriott Desert Springs in Palm Desert, California, from March 22 through 25. Hear directly from regulators and industry experts about the most pressing issues facing asset managers and where the industry is headed. We welcome everyone who serves the invest...
Why Attend FINRA's premier event - the Annual Conference creates an environment for member firms to learn from FINRA staff and connect with industry peers. This forum is designed to provide practical guidance and critical insights on trending regulatory and compliance topics which, in turn, aims to increase investor...
The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. The CRCP® program is delivered in partnershi...
The Only Conference that's "For Compliance, By Compliance." Connect and focus on the practical solutions to empower yourself and your compliance program. Click here to learn more.
2026 Small Firm ConferenceOct. 27-28 | Chicago, IL 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. Click here to learn more. Agenda The agenda for the 2026 S...
Join industry practitioners from member firms, regulators and law enforcement for a program focused on protecting senior investors from fraud and scams. Regulatory and law enforcement experts cover emerging trends, red flags, prevention strategies and how to support those who have been victimized. Plus - real-world...
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series. Hear from FBI field office leaders and cyber investigators as they discuss real-time threat intelligence and provide local and regional FBI resources that are available to you. There is no cost to at...
FINRA's Third-Party Vendor Request asks firms to submit information on all third-party providers that are essential to firms' operations, processes or functions. Join this webinar for an overview of the request including why FINRA is requesting this information and how your data will be used. There is no cost to att...
Elevate your firm's preparedness with FINRA's hands-on workshops where you'll discuss essential topics, develop robust plans alongside industry peers, and receive actionable tips directly from FINRA staff and peers, or participate in our dynamic tabletop exercises to test your strategies through realistic scenarios...
This is a free, virtual program designed to 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. This year's program provides practical and tailored discussions addressing top concerns and interests...
2025 NSCP National Conference October 26 - 29 at the Hyatt Regency Grand Cypress in Orlando, FL Join us at the NSCP conference in 2025 where there are two and a half days of educational sessions, keynotes, networking events, exhibit hall, and much more!
2025 FINRA Small Firm Conference October 9 - 10, 2025 • Dallas, TX • Hybrid Event Join us in Dallas for the Small Firm Conference that 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.
2025 FINRA Annual Conference FINRA's premier event - 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...
SIFMA C&L 2025 Annual Seminar March 23-26 ☆ JW Marriott ☆ Austin, TX SIFMA's C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals in financial services. Through education, our community protects our industry and further enhances its integrity. Join us this March in Austin, TX...
Free FINRA Hybrid Conference The 2024 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free live-streamed and in-person program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipa...
SIFMA's Market Structure Conference brings together market participants and stakeholders to discuss critical issues impacting listed options and the equity markets. The conference also addresses how the industry is enhancing the investor experience and ensuring liquid, efficient, fair, and resilient markets. Registe...
Free FINRA Virtual Conference For more than a decade, FINRA has hosted the Diversity Leadership Summit, an event that brings together diversity practitioners and industry leaders to share innovative ideas and effective practices to promote full inclusion in the workplace. During the 2023 event, more than 1,200 parti...
Hosted by the SIFMA FMS and AICPA & CIMA, the 2024 National Conference on the Securities Industry will gather senior executives, industry experts, and regulators in New York City to share unparalleled insights into accounting, auditing, regulatory requirements, the economy, AI, and more. Register now
Let's connect at the Dallas Security Traders Association event on October 17 - 19. Register now
Building on the success of the Americas Trading Conferences in New York over the past 7 years, we return to the City with a full-day conference! The Americas Trading Conference 2024 will be hosted at etc.venues 360 Madison Avenue, New York, on Wednesday 16th October. This event will provide a series of presentations...
C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices, informative content and focused networking opportunities in the increasingly complex and changing regulatory and compliance arenas. Register now
The market for private credit is growing fast, with assets under management (AUM) more than doubling since 2019. This rapid growth has not gone unnoticed by central banks, regulators, and leading financial institutions, with many raising concerns about heightened financial vulnerabilities that could result from the...
SIFMA's Global Corporate Actions Forum brings together operations and technology professionals focused on corporate actions and asset servicing. On Thursday, October 10, 2024, industry leaders and subject matter experts from broker-dealers, banks, asset managers, service providers and clearing firms will gather in N...
Join us for a fireside chat between Chandana Ravindranath and Satish Kini on the latest AML rulemakings and Treasury's strategic initiatives, followed by expert panel discussion focusing on implementation from different perspectives.
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.
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities...
GiGCXOs helps firms turn conference insight into practical supervision, documentation, and execution.