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VERSION:2.0
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CALSCALE:GREGORIAN
BEGIN:VEVENT
DTSTAMP:20240319T092109Z
UID:14ff2767-bce8-424e-afa7-2fd50b8eac36
DTSTART:20211011T080000
DTEND:20211012T080000
CLASS:PRIVATE
DESCRIPTION:
2020 FINRA Disclosure Reporting\, Monitoring and Registrati
on Conference
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\nThis one-day conference brings together compli
ance\, supervision\, and registration staff from broker-dealers and third-
party vendors to discuss regulatory reporting requirements and industry pr
actices related to firm registrations\, including FINRA&rsquo\;s Membershi
p Application Program (MAP)\, individual registrations\, customer complain
ts and disclosures. Attendees learn of tools and reports available to moni
tor disclosures and identify high-risk branches and employees within an or
ganization.
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\nJOA180522CEV
SUMMARY:2020 FINRA Disclosure Reporting\, Monitoring and Registration Confe
rence
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SUMMARY:2020 FINRA Disclosure Reporting\, Monitoring and Registration Confe
rence
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