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Advanced Broker-Dealer Compliance


19 available
Advanced Broker-Dealer Compliance - 10/23-24/19$1,695.00

Start Time :

October 23 @ 9:00 am

Finish Time :

October 24 @ 5:00 pm

Address :

180 Maiden Lane, Suite 1102 New York,NY10038United States

Event Description

If you need to understand how broker-dealers are formed and structured, the regulatory requirements they are subject to from the SEC and FINRA and the evolving landscape of the industry, or are an entrepreneur considering establishing a new brokerage firm, someone aspiring to work in the securities industry, career transitioning to this industry, an owner of a private company considering tapping the capital markets, a new compliance personnel, or just want to broaden your expertise on these critical trends, this is the seminar.