Tag Archives: compliance events

FINRA Half-Day Compliance Boot Camp District 10 – Long Island

Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp District 10 – Long Island

FINRA Half-Day Compliance Boot Camp – District 11 – Boston

Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp – District 11 – Boston

FINRA Half-Day Compliance Boot Camp – District 5 – Dallas

Compliance Boot Camp FINRA’s Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Half-Day Compliance Boot Camp – District 5 – Dallas

FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit

Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit

FINRA Half-Day Compliance Boot Camp – District 3 – Denver

Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp – District 3 – Denver

FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta

Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta

FINRA Half-Day Compliance Bootcamp – District 8 – Chicago

Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Half-Day Compliance Bootcamp – District 8 – Chicago

FINRA District Compliance Meeting – District 11 Boston

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 25, 2017 9:30 a.m. – 12:30 p.m. District Compliance Meeting … Continue reading FINRA District Compliance Meeting – District 11 Boston

FINRA District Compliance Meeting – District 10 New York

Designed for compliance and legal professionals, 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 24, 2017 9 a.m. – 10:30 a.m. District Compliance Meeting United Federation of Teachers … Continue reading FINRA District Compliance Meeting – District 10 New York

District Compliance Meeting – District 3 – Tempe, Arizona

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 13, 2017 12 p.m. – 2 p.m. District Compliance Event … Continue reading District Compliance Meeting – District 3 – Tempe, Arizona

District Compliance Meeting – District 2 – Del Mar California

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 1:30 p.m. – 3:30 p.m. District Compliance Meeting … Continue reading District Compliance Meeting – District 2 – Del Mar California

District Compliance Meeting – District 7 Boca Raton, Florida

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. September 27, 2017 9 a.m. – 12 p.m. District Compliance Meeting Fort Lauderdale The Westin Fort Lauderdale 400 Corporate Drive Fort Lauderdale, FL … Continue reading District Compliance Meeting – District 7 Boca Raton, Florida

District Compliance Meeting – District 4 Kansas City

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. Wednesday, September 20, 2017 9 a.m. – 12 p.m. District Compliance … Continue reading District Compliance Meeting – District 4 Kansas City

District Compliance Meeting – District 4 Kansas City

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. Thursday, September 14, 2017 9 a.m. – 12 p.m. District Compliance … Continue reading District Compliance Meeting – District 4 Kansas City

FINRA District Compliance Meeting: New York, NY – District 10 (New York)

Designed for compliance and legal professionals, 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 28, 2017 9 a.m. – 10:30 a.m. District Compliance Meeting United Federation of Teachers … Continue reading FINRA District Compliance Meeting: New York, NY – District 10 (New York)

FINRA District 7 Atlanta – 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 descriptions below. Date Event Location & Venue Fees Registration May 31, 2017 9 … Continue reading FINRA District 7 Atlanta – District Compliance Events