New York Professional Events List


2018 FINRA Disclosure Reporting, Monitoring and Registration Conference


Date
Oct 09, 2018 - 08:00 AM
Organizer
finra
Location
Crowne Plaza Times Square Manhattan 1605 Broadway (Between 48th,

New York,
NY,
USA,
ZIP: 10019
Phone:

2018 FINRA Disclosure Reporting, Monitoring and Registration Conference


This one-day conference brings together compliance, supervision, and registration staff from broker-dealers and third-party vendors to discuss regulatory reporting requirements and industry practices related to firm registrations, including FINRA’s Membership Application Program (MAP), individual registrations, customer complaints and disclosures. Attendees learn of tools and reports available to monitor disclosures and identify high-risk branches and employees within an organization.

JOA180522CEV

Event Categories
BUSINESS & MANAGEMENT CONFERENCES
Keywords: conference , industry , learn, program , tools , application, conference , Conference , employee, employee




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