The Small Firm Conference Call

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Conference Call, a free series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Upcoming Conference Calls

Residential Supervisory Location and Remote Inspections Pilot Program
February 12, 2024
4:30 p.m. to 5:15 p.m. ET
REGISTER

These events are open to all FINRA member firms. Participants must provide their firm's broker-dealer number when registering. Preregistration is required, as there are limited lines available.

The call will include a Q & A portion. Please submit your questions by email, either ahead of or during the call, to [email protected]

Questions

Please direct registration questions to (800) 321-6273 or via email.

Audio Recordings

Audio recordings of prior calls are made available to FINRA member firms. Register to listen to any session from the Small Firm Conference Call series:

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.