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2014 FINRA Small Firm Conference

December 10, 2014

2014 FINRA Small Firm Conference
December 10 – 11, 2014
San Francisco, CA

Registration is now open for FINRA’s new Small Firm Conference, which focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Featured topics include supervision, suitability, anti-money laundering and outside business activities, among others.

Visit the Small Firm Conference page for more information and to register.


December 10, 2014
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