upcoming events

Upcoming Webinars

11/12/2014
FINRA Compliance Outlook and Best Practices
Featured Speakers:
- Todd Cipperman, Founding Principal, Cipperman Compliance Services
- Kathy VanNoy-Pineda, EVP, Governance, Risk, and Compliance Group, LPL

You’ll walk away with:
• A clearer vision of what will be on the minds of FINRA regulators
• What you need to know and how best to stay ahead-of-the-curve on importance issues
• Best practice solutions and advice that you can share with your team

Webinar archive »