Date: October 21 - 23, 2013 What: National Society of Compliance Professionals 2013 National Meeting The Securities Compliance Industry’s Most Comprehensive Educational Meeting: 80+ Topics encompassing Investment Adviser, Broker-Dealer, Private … Continue reading 2013 NSCP National Meeting →

As a reminder, the SEC adopted amendments to the net capital, customer protection, books and records, and notification rules (SEA Rules 15c3-1, 15c3-3, 17a-3, 17a-4 and 17a-11), and amended annual … Continue reading Update: New SEC Financial Responsibility Rules →