Tag Archives: compliance event

FINRA District Compliance Meeting – District 9B Woodbridge

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. October 5, 2017 4 p.m. – 6 p.m. District Compliance Meeting … Continue reading FINRA District Compliance Meeting – District 9B Woodbridge

FINRA District Compliance Meeting: Ft. Lauderdale, FL – District 7 ( Atlanta)

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. September 20, 2017 9 a.m. – 12 p.m. District Compliance Meeting … Continue reading FINRA District Compliance Meeting: Ft. Lauderdale, FL – District 7 ( Atlanta)

District Compliance Meeting

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. August 24, 2017 9 a.m. – 12 p.m. District Compliance Meeting … Continue reading District Compliance Meeting

District Compliance Meeting: Charlotte, NC – District 7 (Atlanta)

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. June 1, 2017 9 a.m. – 12 p.m. District Compliance Meeting … Continue reading District Compliance Meeting: Charlotte, NC – District 7 (Atlanta)

District 5 New Orleans – District Compliance Events

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program description below. Date Event Location & Venue Fees Registration May 17, 2017 9 … Continue reading District 5 New Orleans – District Compliance Events