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FINRA Half-Day Compliance Bootcamp – District 8 – Chicago

July 10, 2018 @ 9:00 am - 1:30 pm

Half-Day Compliance Boot Camps

Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.

┬áDistrict 8 – Chicago – Half-Day Compliance Boot Camp
July 10, 2018
9 a.m. – 1:30 p.m.

FINRA District Office
55 W. Monroe St., Suite 2700
Chicago, IL 60603
(312) 899-4400

Topics
  • Effective Practices for Working With Senior Investors
  • Suitability

Details

Date:
July 10, 2018
Time:
9:00 am - 1:30 pm
Event Categories:
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Event Tags:
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Website:
www,finra.org

Organizer

FINRA Chicago District Office
Phone:
(414) 273-8222
View Organizer Website

Venue

FINRA Chicago District Office
55 W. Monroe Street Suite 2700, Conference rooms A-C
Chicago, IL 60603 United States
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Phone:
312-899-4400
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