FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan →

We cordially invite you to attend the SIFMA Compliance & Legal Society Charlotte Regional Seminar to be held at The Ritz-Carlton on September 30th, 2013. This one day seminar will … Continue reading SIFMA Compliance & Legal Society Charlotte Regional Seminar →