Join SIFMA and SIFMA's Compliance & Legal Society at an Ethics Seminar for financial services lawyers. Top industry professionals will discuss a range of topics, including: the SEC and CFTC ethics rules, internal investigations, privilege issues, client relationships, and much more. Learn more about the ethical issues impacting the industry and satisfy all your ethics … Continue reading SIFMA Ethics Seminar
The Complex Products Forum is a collaborative event that brings together regulators, distributors, and manufacturers to discuss the issues, challenges, and opportunities related to the sale of complex products to retail investors. This full-day program will examine: Reasonable-basis suitability and innovative investment products Due diligence process when on boarding new products Ongoing supervision and oversight … Continue reading SIFMA Complex Products Forum
Join SIFMA's Financial Management Society (FMS) and the AICPA on October 29-30 for the latest accounting, auditing and financial regulatory developments affecting securities firms. Hear from regulators first-hand and gain access to in-depth analysis and thought provoking Q&A sessions with industry experts. NEW LOCATION: This year, the conference will be held at the New York … Continue reading SIFMA National Conference on the Securities Industry
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050)
FINRA and the Wharton School offer the Certified Regulatory and Compliance Professional (CRCP) Program—an executive education experience that covers the theory and practical application of securities laws and regulation through intensive instruction, discussion and case studies. The program is comprised of two weeklong residential courses at the Wharton campus in Philadelphia. Week I – August … Continue reading FINRA and the Wharton School offer CRCP Program
SIFMA's 2014 Annual Meeting gathers the leaders of the financial services industry together with prominent policymakers and financial media. In one-on-one conversations, thought leaders will share their perspectives on how the financial services industry will best serve tomorrow's economy. Join us to explore the role of capitalism in creating opportunity across America. How do we … Continue reading SIFMA 2014 Annual Meeting
SIFMA 2014 Diversity Conference: 20/20 VISION For Global Diversity and Inclusion SIFMA's annual Diversity and Inclusion Conference brings together industry leaders to share perspectives on ways to advance Diversity and Inclusion as a crucial ingredient in achieving an organization's priorities and meeting the needs of clients as well as employees. Business line managers and leaders, … Continue reading SIFMA Diversity Conference
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
2014 FINRA South Region Compliance Seminar November 20 – 21, 2014 Fort Lauderdale, FL Marriott Harbor Beach Registration is now open for the FINRA South Region Compliance Seminar. The One-and-a-half-day event provides compliance and legal professionals an opportunity to discuss important regulatory and compliance issues and solutions with industry peers and regulators. Throughout the event, … Continue reading FINRA South Region Compliance Seminar
The Corporate Actions Section Annual Dinner will be returning to the Lighthouse at Chelsea Piers, and will provide an opportunity for CAS members to network.