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.
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]
The SEC issued two closely related statements that, when read together, offer one of the […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]
The SEC issued two closely related statements that, when read together, offer one of the […]
