Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not … Continue reading FINRA 2018 Renewal Program – Preliminary Statement Filings
The SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For registration questions, please contact SIFMA Compliance & Legal Society.
The session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will … Continue reading SIFMA FMS Fundamental Training Securities Operations