Upcoming events.
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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
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 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.
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.