FINRA recently announced a new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps … Continue reading FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application … Continue reading FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)
FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application … Continue reading FINRA Boot Camp: Stamford, CT – District 11 (Boston)