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District Compliance Meeting: Louisville, KY – District 8 ( Chicago)

June 29, 2017 @ 9:00 am - 12:00 pm

Designed for compliance and legal professionals at FINRA member firms, theseĀ  District Compliance Meetings 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.

Topics:

  • Examination Priorities
  • Common Examination Findings
  • Regulatory Issues and Effective Practices for Small Firms

Details

Date:
June 29, 2017
Time:
9:00 am - 12:00 pm
Event Categories:
,
Event Tags:
Website:
www.finra.org

Organizer

FINRA Chicago District Office
Phone:
(414) 273-8222
Website:
www.finra.org
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