May 05, 2017 BY Valentina Kirilova
SEC and FINRA announce National Compliance Outreach Program for Broker-Dealers
Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27. Registration opened today for the program, which is designed to provide an open forum for regulators and industry…
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