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 … Continue reading FINRA Boot Camp – District 10 Long Island – Jericho, New York
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 … Continue reading FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)
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 … Continue reading FINRA Boot Camp: Woodbridge, NJ – District 9b
June 20, 2017 9 a.m. – 1:30 p.m. Half-Day Compliance Boot Camp FINRA District Office 5200 Town Center Circle Suite 200 Boca Raton, FL 33486 (561) 443-8000 $195 View More … Continue reading District 7- Boca Raton, Florida – Compliance Boot Camp
This class is designed for staff at broker-dealer firms and/or service providers that are new to reporting Disclosure information in Web CRD or those who want to receive refresher training … Continue reading FINRA Registration and Disclosure Boot Camp
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 … Continue reading FINRA Compliance Boot Camp – Jericho, New York
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 … Continue reading FINRA Compliance Boot Camp – Washington D.C.