- This event has passed.
District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
June 27, 2017 @ 9:00 am - 11:00 am
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.
Topics:
- Examination Priorities
- Common Examination Findings
- Regulatory Issues and Effective Practices for Small Firms