FINRA 2015 Risk Control Assessment Due Date
The 2015 Risk Control Assessment (RCA) which was issued on June 22. FINRA has requested that the survey be completed by Friday, July 17, 2015.
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FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
Omni Los Angeles Hotel at California Plaza 251 South Olive Street, Los AngelesHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
$195.00