FINRA Small Firms Conference – Hybrid
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules
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Conferences
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NSCP National Conference
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators