WHERE WE’RE HEADED:
IAA Investment Advisor Compliance Conference
March 6-8, 2024 | Washington, DC
The IAA’s Compliance Conference is a comprehensive, two-day, in-person program providing investment advisers with the most current information on the changing regulatory landscape. The program features speakers who are experts in their fields, including SEC officials, in-house legal counsel, and compliance officers, partners with leading law firms, and the IAA legal team. Most sessions will be recorded and available to all registered attendees after the conference.
Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.
Continuing education credit will be available.
2022 Annual Conference
April 17-19, 2024 | Palm Desert, CA
Network with other insurance professionals to gain insight and understanding of insurance advertising issues.
The organization specifically focuses on how marketing, legal and compliance individuals can work together in support of insurance advertising compliance to create a number of benefits for themselves and the industry.
2024 Annual Conference
May 14-16, 2024 | Washington, DC
FINRA’s premier event—the Annual Conference allows practitioners, peers, and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management, and much more.
Financial Markets Association Securities Compliance Seminar
May 3-5, 2024
This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants and are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory hot button priorities.
June 3-5, 2024 | Sarasota, FL
ARM came into existence in 1975\ when there was a great need for uniformity and simplification of registration procedures in the securities industry. Today, thanks partly to the tenacious attitude of the people representing ARM, the securities industry experiences a cost-effective and efficient way to comply with the rules, regulations, and laws that govern individuals and firms selling securities. ARM is not just a “lobby” group. We also believe it is extremely important to have available all information that directly affects the operation of any registration department.
Regulatory Compliance Conference
June 11-14, 2024 | Seattle, WA
It’s time to bring back face-to-face conversations on compliance and upgrade how you navigate evolving challenges. Dive into practical and late-breaking analysis on compliance, regulatory changes, and advocacy with top experts.
Don’t miss the largest RegTech event where compliance leaders converge. Secure your place for our second edition in New York and shape the future of RegTech.
2024 FINRA Small Firm Conference
October 9-10, 2024 | 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.
2024 National Conference | Diamond Sponsor
October 27-30, 2024 | Dallas, TX
Network and focus on practical solutions to empower yourself and your compliance program. From discussing best practices for implementing regulatory changes to exploring the benefits of diversity and inclusion, attendees will receive great insight and practical tools to take back to their firms. Whether hearing from expert panels, engaging in hands-on learning in labs, or sharing with other compliance professionals in forums and talk groups, we’re confident you’ll leave the National Conference more prepared for the future.
More to come in 2024. Stay tuned and we’ll see you soon!