FINRA's Advertising Regulation Conference provides a forum to hear about practical guidance on complying with advertising rules and new developments involving the communications rules, and the opportunity to gain guidance … Continue reading FINRA 2017 Advertising Regulation Conference
Half-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 – District 2 – Del Mar, California
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 2 – Del Mar California
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading FINRA District Compliance Meeting – District 9B Woodbridge