Compliance Workshops

FINRA Compliance Workshops are informal, interactive learning opportunities that provide 2 – 3 hours of in-depth educational content on key compliance topics. Workshops are designed to provide industry practitioners the opportunity to learn from and engage with FINRA staff and subject matter experts and peers in a small group setting.

Protecting Vulnerable Adults and Seniors from Financial Exploitation:
Effectively Communicating with Elder Investors

The goal of this workshop is to educate participants regarding the behavioral impact of exploitation on elderly clients and share tips and effective practices for effectively communicating with potential victims.

These events are open only to FINRA member firms' personnel. Participants must provide their firm's broker-dealer number when registering.

Space is limited to 40 participants per session and available on a first-come, first-served basis.

Registration Confirmation

You will receive an email confirmation of your registration.

Cancellation Policy

A full refund will be granted to written requests received 14 days or more prior to the start date of the event.

For questions regarding Compliance Workshops, contact Member Relations and Education. For questions regarding registration, please email [email protected].