FINRA Small Firm Conference Series:
This series
is designed to address regulatory requirements and compliance practices from a small firm perspective.
April 7, 2009 • New York, NY
July 16, 2009 • Chicago, IL
October 1, 2009 • San Francisco, CA
FINRA Annual Conference:
FINRA has combined its Securities Conferences into a single annual event, and has expanded the program to address the complex business and operational challenges firms face in today’s regulatory landscape
May 6–8, 2009 • Boston, MA
AML Boot Camp – May 18-19
The Anti-Money Laundering Compliance Boot Camp covers core anti-money laundering (AML) regulatory requirements and compliance responsibilities. The curriculum includes how to develop an AML program, monitor for and report on suspicious activity, write a SAR and identify red flags, and create independent testing procedures.
Advertising Regulation Conference
FINRA's annual conference provides practical guidance on compliance with advertising rules and regulations for communications with the public
October 21-22, 2009 • Washington, DC
NSCP 2009 National Meeting
(National Society of Compliance Professionals) (Philadelphia, PA) 10/5/09-10/7/09
Back to top
Back to Newsletter
|
