The LeGaye Law Firm wants to remind you that all registered broker-dealers, investment advisers and agents registered in the State of Tennessee should be receiving their annual Professional Privilege Tax invoices. Payments are due on or before June 1, 2015 in order to avoid late fees. For more information regarding this, please click here at: http://www.tn.gov/revenue/tntaxes/proftax.shtml … Continue reading Tennessee Professional Privilege Tax Invoices→
The Westin Lombard Yorktown Center Lilac Meeting Room
70 Yorktown Shopping Center, Lombard, IL, United States
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. - See more at: Regional Event.
On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath? Uncontrolled library growth, inconsistent interpretation of mandates, rules that don’t match actual trading activity or regulations, false positives, excessive overrides and data issues are just a few of … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance→
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, United States
FINRA Half-day Compliance Boot Camp focuses 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.
Gaylord National Harbor Resort & Convention Center
201 Waterfront Street, National Harbor, MD, United States
You are invited to attend the NSCP's annual National Conference for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment company, municipal advisor and private fund/hedge fund compliance issues. The workshops, labs and roundtable discussions are all led by experienced industry veterans who focus on the practical … Continue reading NSCP: National Society of Compliance Professionals→
Hilton North Raleigh Midtown
3415 Wake Forest Road, Raleigh, NC, United States
June 16, 2016 9:00 a.m. – 12:00 p.m. District Compliance Meeting Raleigh, NC Hilton North Raleigh Midtown 3415 Wake Forest Road Raleigh, NC 27609 FREE Register Topics Include: Regulatory Priorities Conflicts of Interest Compliance and Legal Trends – Cybersecurity Speaker: Daniel Stefek, Associate Vice President and Director, FINRA Atlanta District Office
Stamford Marriot Hotel
243 Tresser Blvd., Stamford, CT, United States
FINRA Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp-Stamford, CT→
FINRA New Jersey District Office
581 Main Street - 7th Floor, Woodbridge, NJ, United States
FINRA District Compliance Meeting Designed for compliance and legal professionals at FINRA member firms, these events 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.
FINRA Chicago District Office
55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United States
Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Chicago→
FINRA Dallas District Office
12801 North Central Expressway, Suite 1050, Dallas, TX, United States
FINRA District Compliance Meeting Designed for compliance and legal professionals at FINRA member firms, these events 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.
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, United States
FINRA District 7 Compliance Meeting Designed for compliance and legal professionals at FINRA member firms, these events 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.
Hilton Del Mar
15575 Jimmy Durante Blvd., Del Mar, CA, United States
FINRA Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – San Diego→
FINRA New Jersey District Office
581 Main Street - 7th Floor, Woodbridge, NJ, United States
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp-New Jersey→
FINRA Kansas City District Office
12 Wyandotte Plaza , Kansas City, MO
Half-Day FINRA Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp- Kansas City→
Atlanta District Office
One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Atlanta→
FINRA New York District Office
Brookfield Place 200 Liberty Street, New York, United States
FINRA Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – New York→
The Marquette Hotel
710 S. Marquette Ave., Minneapolis, MN, United States
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Minneapolis→
The Westin Riverwalk
420 W. Market Street, San Antonio, TX, United States
Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. FINRA Half Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants … Continue reading FINRA Compliance Boot Camp – San Antonio→
FINRA Washington, D.C.
1735 K Street, NW, Washington, D.C.
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Washington D.C.→
FINRA District Office Jericho, N. Y.
Two Jericho Plaza
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Jericho, New York→
FINRA Dallas District Office
12801 North Central Expressway, Suite 1050, Dallas, TX, United States
Designed for compliance and legal professionals at FINRA member firms, these events 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. Date Event Location & Venue Fees Registration May 11, 2017 9 … Continue reading FINRA District 6 Dallas – District Compliance Events→
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 … Continue reading District Compliance Meeting – District 8 (Madison WI)→
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: Tarrytown, NY – District 9b ( Woodbridge)→
FINRA San Francisco district office
120 Kearney Street, Suite 2100, San Francisco
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – San Francisco→
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 – Columbus, OH – District 8 (Chicago)→
FINRA
9509 Key West Avenue, Rockville, MD, United States
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)→
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: Louisville, KY – District 8 ( Chicago)→
Charlotte Convention Center
501 S. College Street, Charlotte, NC, United States
Registration for the 2017 National Compliance Outreach Programs for Broker-Dealers, which is hosted by FINRA and the SEC, is now open. This program provides a forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure. Topics include: Cybersecurity Insights from SEC and … Continue reading 2017 National Compliance Outreach Program for Broker-Dealers→
Mesirow Financial
353 North Clark Street, Chicago, IL, United States
The SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For registration questions, please contact SIFMA Compliance & Legal Society.
