Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp District 10 – Long Island
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 11 – Boston
Compliance Boot Camp FINRA’s Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities … Continue reading FINRA Half-Day Compliance Boot Camp – District 5 – Dallas
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit
August 9, 2018 9:00 a.m. – 1:00 p.m. Hilton San Diego Del Mar 15575 Jimmy Durante Blvd. Del Mar, CA 92014 (858) 792-5200 Topics Supervision Social Media
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 3 – Denver
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta
Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Bootcamp – District 8 – Chicago
District 9 – Philadelphia Half-Day Compliance Boot Camp June 12, 2018 8:30 a.m. – 1:30 p.m. Omni Richmond Hotel 100 S. 12th Street Richmond, VA 23219 (804) 344-7000 Topics Effective … Continue reading FINRA Half-Day Compliance Boot Camp – District 9 – Philadelphia
Change is coming for investment adviser compliance professionals. Substantial Form ADV changes come with an October deadline and the knowledge that the new data collected will assist the Commission in … Continue reading Commitment to Compliance Conference
Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more … Continue reading FINRA District Compliance Meeting – District 10 New York
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading FINRA District Compliance Meeting – District 11 Boston
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 2 – Del Mar California
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 3 – Tempe, Arizona
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 7 Boca Raton, Florida
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 4 Kansas City
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 4 Kansas City
Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more … Continue reading FINRA District Compliance Meeting: New York, NY – District 10 (New York)
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading FINRA District 7 Atlanta – District Compliance Events