Upcoming events.
Let’s Connect: Power Your Business with GiGCXOs Expertise.
FBI Cyber & Financial Crime Threat Briefing Series - Webinare
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 attend these events. Threat Briefings are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.
Click here to learn more.
FINRA & FBI Senior Investor Fraud Prevention Summit - In Person
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 case studies help you gain practical insights into how to strengthen your firm's defenses and collaborate across the industry to protect investors.
Agenda
View the agenda.
Date and Location
Feb. 5, 2026 | Boca Raton, FL
The hotel location will be provided after registering for the event.
2026 Investment Adviser Compliance Conference - In Person
The IAA Investment Adviser Compliance Conference is a comprehensive, two-day, in-person program that provides investment advisers with the most up-to-date information available on the changing regulatory landscape.
The program features a distinguished roster of speakers who are experts in their fields — including SEC officials, investment adviser industry professionals, legal experts, and the IAA legal team.
In addition to meeting and interacting with peers, participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.
Investment Management Conference - In Person
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 investment management industry in any role. This conference offers valuable programming and networking opportunities for industry professionals, including asset managers, service providers, board members, and legal and compliance personnel.
Don't miss this exclusive opportunity to connect with industry leaders, gain insights, and expand your network.
Conference registration for non-members will open on January 27.
2026 Annual FINRA Conference
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 protection. Firms can expect to hear how to prepare and adapt to regulatory changes and refine and strengthen compliance practices, all while participating in various opportunities to build their network of industry professionals. Click here to learn more.
Agenda
The agenda for the 2026 Annual Conference will be provided at a later date.
Start/End Times
Schedule subject to change.
The first session begins on Tuesday, May 12, at 10 a.m. ET
The last session ends on Thursday, May 14, at 12 p.m. ET
Location
Washington, DC
The hotel location will be provided after registering for the event.
FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program
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 partnership with the McDonough School of Business at Georgetown University and comprises two non-consecutive weeklong residential courses, in addition to extensive pre-course readings and casework. The CRCP certificate is awarded to those who successfully complete the program within a two-year period.
Click here to learn more.
2026 NSCP NATIONAL CONFERENCE
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 FINRA Small Firm Conference
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 Small Firm Conference will be available at a later date.
Date and Location
October 27-28, 2026 | Chicago, IL
2026 FINRA Third-Party Vendor Request - Webinar
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 attend this webinar. This is open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.
Click here to learn more.
Cyber Resilience Workshop for Small Firms - Virtual Event
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 with expert guidance. Register today for these limited-seat opportunities.
When cyber threats target your firm, rapid response is critical to minimizing damageand protecting your operations. This highly interactive virtual workshop puts participants into immersive scenarios involving business email compromise targeting critical communications and impersonator websites threatening client relationships. Through facilitated breakout discussions and live problem-solving, attendees collaborate in small peer groups to develop real-time response strategies, challenging each other to test and refine their cybersecurity approach.
Participants develop enhanced incident response strategies tailored to organizations with constrained IT budgets, dependence on external technology vendors, and critical responsibility for protecting sensitive business information. This workshop offers an opportunity to benchmark with industry peers, gain practical cyber tips and engage in an interactive learning experience that addresses the unique challenges facing small businesses in today's digital landscape.
Compliance Outreach For Municipal Advisors and Dealers - Virtual Event
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 among municipal securities dealers and municipal advisors, including conflicts of interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics.
Click here to learn more.
For those unable to participate, a recording of the program will be archived on the SEC's webpage following the event.
2025 NSCP National Conference
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 Small Firm Conference
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
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 asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.
Why Attend
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 asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.
Agenda
The agenda for the 2025 Annual Conference will be provided at a later date.
Start/End Times
Schedule subject to change.
The first session begins on Tuesday, May 13, at 10 a.m. ET
The last session ends on Thursday, May 15, at 12 p.m. ET
Location
Washington, DC
The hotel location will be provided after registering for the event.
Accommodations
A room block is available at the conference hotel at the special room rate of $365 per night, plus tax. The rate is available until April 21, 2025, or until the room block is sold out.
Room Reservation Process for FINRA Programs
To reserve a room at the above hotels, you must first register as an attendee for the conference. A hotel reservation link will then be provided in your registration summary page and your registration confirmation email. Please contact us with any additional questions.
Registration
Trying to decide on whether to attend in person or online?
In-person attendees can take advantage of onsite experiences, including:
building relationships with industry experts and peers,
connecting with FINRA staff members in attendance,
exclusive receptions creating the perfect environment for informal conversation*,
tailored discussions focused on specific content and answering questions*,
conference exhibitors offering a range of compliance solutions*, and
resources, demonstrations and feedback opportunities*.
*Depending on the size or type of conference.
2025 SIFMA C&L Annual Seminar
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 to prepare for market changes, discover industry and regulatory trends, and get insights on the latest developments from substantive programming - all while connecting with colleagues and earning CLE credits. We can’t wait to see you there.
2024 Compliance Outreach Program
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 municipal advisors and dealers. Panel topics will include compliance pain points for municipal advisors and broker-dealers, exam and enforcement priorities, a regulatory outlook, net capital requirements, federal fiduciary duty, post-trade monitoring and other municipal market hot topics.
Market Structure Conference
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.
FINRA Virtual Diversity Leadership Summit
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 participants followed along as expert thought leaders and industry executives explored the importance of embracing full inclusion and shared perspectives around the summit theme of Building Strategies to Build Bridges.
As in prior years, there is no cost to participate and each day features two to three one-hour sessions. Additional program information will be available in the near future.
National Conference on the Securities Industry
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.
Dallas Security Traders Association Annual Event
Let’s connect at the Dallas Security Traders Association event on October 17 - 19.
Americas Trading Conference 2024
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 and panel sessions with an interactive program that addresses market needs, providing impartial, high quality content and the knowledge and experience of industry leading speakers.
Compliance and Legal Regional Seminar
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.
SIFMA Forum: Private Credit
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 growth of this segment of the financial system. But does this market pose potential systemic risks to the financial system? And is heightened supervision and regulatory oversight necessary?
21st Annual Global Corporate Actions Forum
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 New York City for our 21st annual event.
SIFMA Forum: The Latest AML Rulemakings Impacting Asset Managers and Broker-Dealers
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.
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 topics with FINRA senior staff.
2024 FINRA Advertising Regulation Conference
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 and emerging technologies. The conference also provides the opportunity to network with industry peers, participate in advertising review workshops, attend technology demos, and meet one-on-one with Advertising Regulation Department staff.