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District 5 New Orleans – District Compliance Events

May 17, 2017 @ 9:00 am - 11:30 am

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 Office staff. For more information including discussion topics, see the individual program description below.

Date Event Location & Venue Fees Registration

May 17, 2017

9 a.m. – 11:30 a.m.

District Compliance Meeting

Memphis, TN

The Crescent Club
6075 Poplar Avenue #909
Memphis, TN 38199

FREE Register
Topics:

  • 2017 FINRA Annual Priorities
  • Common Examination Findings
  • Effective Practices Before, During and After the Examination Process
  • Effective Branch Office Inspections

 

Details

Date:
May 17, 2017
Time:
9:00 am - 11:30 am
Event Categories:
,
Event Tags:
, ,
Website:
www.finra.org

Organizer

FINRA New Orleans District
Phone:
(901) 684-1010
Website:
www.finra.org

Venue

The Crescent Club
6075 Poplar Ave., Suite 909
Memphis, TN 38119 United States
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Phone:
(901) 684-1010
Website:
www.finra.org
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