FINRA Small Firm Conference Series:
This series
is designed to address regulatory requirements and compliance practices from a small firm perspective.
October 1, 2009 • San Francisco, CA
NSCP 2009 National Meeting
(National Society of Compliance Professionals)
October 5, 6, & 7, 2009 • The Marriott Downtown, Philadelphia PA
Complete registration details and PDF brochure downloads available
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
NAIBD Fall Symposium
The National Association of Independent Broker/Dealers welcomes your CEOs, CCOs, CTOs, CIOs and other securities industry professionals to attend the 2009 Fall Symposium
October 23, 2009 • NYSE, New York, NY
Complete registration details
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