This FINRA District Compliance Conference is located in Coral Gables, FL at The Westin Colonnade. For more information, click on Topics and or Registration. Space is limited and available on … Continue reading District Compliance Meeting – District 7 (Boca Raton) →

This FINRA District Compliance Conference is located in Morristown, NJ at the Hyatt Morristown. For more information, click on Topics and or Registration. Space is limited and available on a … Continue reading District Compliance Meeting – District 9B (Woodbridge) →

This FINRA District Compliance Conference is located in New York, NY at Bayard’s One Hanover Square. For more information, click on Topics and or Registration. Space is limited and available … Continue reading District Compliance Meeting – District 10 (New York) →

FINRA reminds member firms that any person identified by a member firm as a Day-One Operations Professional who must pass the Series 99 or other appropriate qualification examination to qualify … Continue reading Deadline for Qualifiying for Day One Operations Principal →