Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST

Ideas to Infuse your Firm’s Culture with a Heightened
Sense of Ethics

Oct. 15, 2019 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
10/10/2019
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 complianc...
10/10/2019
Regulators hate to see repeat violations and will penalize firms for not taking prompt corrective action the first time an issue is cited. UBS Financi...
10/10/2019
FINRA’s second annual report on the state of brokerage firms, registered reps, and market activity paints a good news, bad news picture. The SRO’s 201...
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