2017 National Compliance Outreach Program for Broker-Dealers
Charlotte Convention Center 501 S. College Street, CharlotteRegistration for the 2017 National Compliance Outreach Programs for Broker-Dealers, which is hosted by FINRA and the SEC, is now open. This program provides a forum for regulators and industry … Continue reading 2017 National Compliance Outreach Program for Broker-Dealers