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Regulatory Notice: Effective Date for Changes to Qualification Examination Fees
In FINRA Notice to Members 15-08 , FINRA noted that it regularly conducts a comprehensive review of the examination fee structure, including an analysis of the costs associated with developing, administering and delivering each examination, so that FINRA may better understand whether pricing changes are warranted and evaluate the financial condition of each qualification examination … Continue reading Regulatory Notice: Effective Date for Changes to Qualification Examination Fees
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SIFMA: Private Client Conference 2015
The SIFMA Private Client Conference is North America's leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical ways to enhance client service, advice and trust to help investors achieve their financial goals. Why You Should Attend: STRONG INDUSTRY PRESENCE - Senior Wealth … Continue reading SIFMA: Private Client Conference 2015
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Meeting of the Securities and Exchange Commission Investor Advisory Committee
9:30 - 10:00 a.m. Welcome Remarks and Continental Breakfast 10:00 - 10:05 a.m. Approval of Minutes 10:05 - 10:20 a.m. Nomination of Candidates for Officer Positions to Become Available Upon Expiration of Current Three-Year Terms 10:20 - 10:50 a.m. Discussion of CFTC Investor Behavior Survey Results 10:50 - 11:20 a.m. Discussion of Background Checks as … Continue reading Meeting of the Securities and Exchange Commission Investor Advisory Committee
NSCP: 2015 Regional Conference – St. Louis, MO
St. Louis, MO :: April 9, 2015 :: DoubleTree Hotel St. Louis at Westport This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry. Our workshops and labs are led by experienced industry veterans and legal professionals who focus … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO
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FINRA Regulatory Notice 15-04 Fixed Income Price Dessimination
Executive Summary FINRA is soliciting comment on a proposal to expand dissemination of TRACE data to include additional Securitized Products, specifically, collateralized mortgage obligations (CMOs), commercial mortgage-backed securities (CMBSs) and collateralized debt obligations (CDOs). FINRA is proposing to reduce the reporting time frame for these additional Securitized Products from end-of-day to 45 minutes and, … Continue reading FINRA Regulatory Notice 15-04 Fixed Income Price Dessimination
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Tennessee Professional Privilege Tax Invoices
The LeGaye Law Firm wants to remind you that all registered broker-dealers, investment advisers and agents registered in the State of Tennessee should be receiving their annual Professional Privilege Tax invoices. Payments are due on or before June 1, 2015 in order to avoid late fees. For more information regarding this, please click here at: http://www.tn.gov/revenue/tntaxes/proftax.shtml … Continue reading Tennessee Professional Privilege Tax Invoices
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NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program
NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program
In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance automation help you mitigate liability?Join NSCP and Compliance Science for a webinar discussion on CCO Liability and how compliance automation can help on April 21st … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program
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NSCP: 2015 Regional Conference – New York, NY
New York, NY :: April 28, 2015 :: AMA Conference Center This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry. Our workshops and labs are led by experienced industry veterans and legal professionals who focus on the … Continue reading NSCP: 2015 Regional Conference – New York, NY