Upcoming events.
Let’s Connect: Power Your Business with GiGCXOs Expertise.
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.
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
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.