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 descriptions below.
- This event has passed.
District Compliance Meeting – District 3 – Tempe, Arizona
October 13, 2017 @ 12:00 pm - 2:00 pm