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FINRA Small Firm Conference Registration – California
May 29, 2015 @ 8:00 am
Registration is now open for FINRA’s Small Firm Conference, which focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Topics featured at least year’s inaugural conference include supervision, suitability, anti-money laundering and outside business activities, among others.