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District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)
June 6, 2017 @ 4:00 pm - 6:00 pm
Designed for compliance and legal professionals at FINRA member firms, these 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.
- Examination Priorities
- Common Examination Findings
- Regulatory Issues and Effective Practices for Small Firms