Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

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

 
3/14/2019
Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump...
3/08/2019
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
2/28/2019
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
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