Name: NSCP Interactive Compliance Labs – West Coast
Start: 2024-04-18T09:00:00-07:00
End: 2024-04-18T17:30:00-07:00
Location: The Pointe at California State University

April 2024
April 15, 2024

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2024)

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2024) →
April 18, 2024 @ 9:00 am - 5:30 pm

NSCP Interactive Compliance Labs – West Coast

The Pointe at California State University 1250 Bellflower Blvd, Long Beach, CA, United States

NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic.