SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
SEC Washington D.C. headquarters 100 F Street N. E., Washington D.C., DC, United StatesWASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures. The … Continue reading SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers