District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
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 … Continue reading District Compliance Meeting: Rochester NY – District 9b (Woodbridge)