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2020 FINRA Disclosure Reporting, Monitoring and Registration Conference
Date
Oct 11, 2021 - 08:00 AM
Link to Website
Organizer
finra
Location
Crowne Plaza Times Square Manhattan
1605 Broadway (Between 48th,
New York,
NY,
USA,
ZIP: 10019
Phone:
2020 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