FINRA’s Conferences for Fall 2016

FINRA offers securities and compliance professionals valuable education and training opportunities, particularly in compliance and regulatory matters. FINRA’s conferences and educational events keep securities and compliance professionals informed about recent and upcoming regulatory and rules developments as well as FINRA’s priorities and practical guidance on compliance issues. Read More…

2016 Broker-Dealer Training Considerations

Annual broker-dealer training should be derived from relevant regulatory and/or industry focus areas. It is important to consider the current “hot topics” and implement appropriate training regarding the areas that would best mitigate risk when performing needs analysis and developing an annual broker-dealer training plan. Read More…