Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
8/16/2018
The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics c...
8/16/2018
The bill of particulars against David Mehringer included allegations of unauthorized short-term trading in Class A mutual fund shares. Mehringer claim...
8/16/2018
FINRA is proposing to revise the suitability rules to “more effectively address instances of excessive trading in customers’ accounts (BD Watch, July ...
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