FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta

Half-Day Compliance Boot Camps

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 the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.

District 7 – Atlanta – Half-Day Compliance Boot Camp

July 12, 2018
8:30 a.m. – 1:30 p.m.

FINRA District Office
One Securities Center, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305
(404) 239-6100

Topics

• Supervision
• Suitability