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Broker-Dealer Compliance


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Start Time :

June 27 @ 9:00 am

Finish Time :

June 28 @ 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. It is not aimed at financial engineers looking for hedging and trading strategies, but for those professionals seeking to expand their knowledge with insights and practical guidance, such as attorneys, operations personnel, and new entrants to the industry.