Compliance Outreach Summary Sign Up

What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]

Thank You!

You have been successfully added to the list, to receive the SEC/FINRA Compliance Outreach Program Summary following the event Tuesday, June 14th in Washington, D.C.

SEC/FINRA Outreach Program Brief Agenda:
Registration (8:30 am – 10:30 am)
Welcome and Opening Remarks (10:30 am – 11:00 am)
Panel 1: Cybersecurity (11:00 am – 12:00 pm)
Panel 2: Anti-Money Laundering (1:15 pm – 2:00 pm)
Panel 3: Firm and Branch Supervision and Sales Practices (2:15 pm – 3:30 pm)
Panel 4: Insights from SEC and FINRA Examination Programs (3:45 pm – 4:15 pm)
Closing Remarks (4:15 pm – 4:30 pm)

San Francisco-based Coinbase makes Wall Street Debut

Pros and cons of investing in bitcoin

CRC In The News

View All

Executive Leadership and Team

partners

testimonials

Flip Book

View all flipbooks

Thank You!