- Jun. 24, 2013 New Brunswick, NJ
- Jun. 24, 2013 Birmingham, AL
- Jun. 24, 2013 Pittsburgh, PA
- Jun. 24, 2013 Philadelphia, PA
- Jun. 24, 2013 Boston, MA
- Jun. 24, 2013 Mechanicsburg, PA
Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...