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Supervision Workshop

Financial Services Institute / Supervision Workshop

Countdown to Supervision Workshop

Supervision Workshop

May 13-14, 2019

FSI Office — Lobby Conference Room

1201 Pennsylvania Ave. NW

Washington, D.C. 20004

WHO SHOULD ATTEND
This event is open to FSI firm members. Space is limited, so register today!
Registration

Registration Fee: $250

Registration Instructions:

  1.  1. Log into the FSI website with your username and password
  • Your username will be your email address.
  • If you do not remember your password, you can send yourself a link to reset.
  1.  2. Go to “My Account
  2.  3. Click on the “2019 Supervision Workshop” button
  3.  4. Click “Register


Cancellations:

Should you need to cancel, we kindly ask you to contact events@financialservices.org no later than April 30, 2019 to receive a full refund less a $75 processing fee.  After April 30, 2019, no refunds will be issued.

Questions?  Contact our team at 1-888-373-1840 or events@financialservices.org

Schedule

FSI’s Supervision Workshop will shed light on the recent state and federal enforcement efforts addressing cybersecurity, vendor management, Regulation S-P, expense sharing agreements, outside business activities/private securities transactions and more. These enforcement actions have unique impact on independent broker-dealers (IBDs). Participants will leave with a deeper understanding of IBD risk areas; the rules and regulations governing those areas; the interplay between those rules/regulations and the IBD business model; and best practices utilized by their peers.

Day 1: Supervision Bootcamp for Independent Broker-Dealers

Day 2: Closed-Door, Member-Only Discussion

A detailed schedule will be coming soon!

Hotel Information

Several hotels are available near FSI’s office building:

JW Marriott Washington DC
1331 Pennsylvania Ave. NW
Washington, D.C. 20004
Tel: +1 202-393-2000

The Willard InterContinental Washington
1401 Pennsylvania Ave. NW
Washington, D.C. 20004
Tel: 866-925-8676

Trump International Hotel Washington DC
1100 Pennsylvania Ave. NW
Washington, D.C. 20004
Tel: +1 202-695-1100

W Washington D.C.
515 15th St. NW
Washington, D.C. 20004
Tel: +1 202-661-2400

Grand Hyatt Washington
1000 H St. NW
Washington, D.C. 20001
Tel: +1 202-582-1234

Click here for a list of additional hotels.

Travel Information

Air Travel:

Ronald Reagan Washington National Airport (DCA)
4.0 miles from FSI’s Office
Estimated taxi fare: $20 (one way)

Washington Dulles International Airport (IAD)
27 miles from FSI’s Office
Estimated taxi fare: $76 (one way)

Baltimore/Washington International Thurgood Marshall Airport (BWI)
35.2 miles from FSI’s Office
Estimated taxi fare: $82 (one way)

Other Transportation:

Additional transportation options include Amtrak and Metro.

Things to Do in D.C.

FSI’s office is located conveniently in downtown D.C. near the White House, National Mall, Smithsonian museums and Capitol Hill.

D.C. Tourism Information: