2017 FINRA Annual Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

Registration is now open for the 2017 FINRA Annual Conference. Join leaders of firms of all sizes, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators … Continue reading 2017 FINRA Annual Conference

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

SIFMA FINTECH Conference

SIFMA Conference Center New York City, NY, United States

SIFMA's FinTech Conference will bring together innovators and industry leaders to discuss the latest developments in robo advising, robotics, artificial intelligence, machine learning and blockchain experiments – and how these … Continue reading SIFMA FINTECH Conference

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

FINRA Blockchain Symposium

Park Central Hotel 870 Seventh Avenue, 56 Street, New York City, NY, United States

Distributed Ledger Technology (DLT)—also known as blockchain technology or distributed database technology—has attracted significant interest and funding in the financial services industry in recent years. FINRA's  Blockchain Symposium, which takes … Continue reading FINRA Blockchain Symposium

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

FINRA Institute at Wharton CRCP Program

The Wharton School of the University of Pennsylvania. University of Pennsylvania, Philadelphia, PA, United States

The FINRA Institute at Wharton's Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program provides a comprehensive core of knowledge on securities regulation and the day-to-day application of those rules and regulations. … Continue reading FINRA Institute at Wharton CRCP Program

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

2017 Fixed Income Conference

The Fairmont Dallas Hotel 1717 N. Akard Street, Dallas, TX, United States

FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. In-person Registration Live Broadcast Registration Location The Fairmont Dallas Hotel 1717 … Continue reading 2017 Fixed Income Conference

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

Copyright© 2024 The LeGaye Law Firm P.C.