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FINRA Small Firm Conference
November 11, 2015 - November 12, 2015
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule.
Featured topics include supervision, suitability, anti-money laundering and outside business activities, among others.