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Hot FINRA Topics for 2015
Hot FINRA Topics for 2015
 

February 17, 2015

Division
Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group
Speaker: Brian Rubin, Partner, Sutherland Asbill & Brennan LLP


Webcast Discussion Includes:

  • 2014 FINRA Actions
  • New Supervision Rules
  • Risk Management
  • Conflicts
  • Cybersecurity
  • Variable Annuities
  • Private Placements
  • IRA/Wealth Events