Mitch Avnet Moderates FINRA and SEC Exam Trends Panel at RCA2014

2014 Compliance Alliance Conference Hosted by RegEd
Mitch Avnet had the honor of moderating this year’s RCA panel on recent FINRA and SEC exam trends. This is RegEd’s 3rd year of hosting the spectacular event, that brings over 100 compliance professionals, industry experts, regulators and industry consultants together under one roof.

FINRA and SEC exam trends

“Given all the conference invitations that Compliance Officers are inundated with, it is important to be selective with our learning opportunities. If you only attend one conference this year – this should be the one! ” ~Mitch Avnet