SEC, FINRA to Host B-D Compliance Events

The SEC and FINRA want to reach out and talk directly to advisors—but they’re not saying, at least for now, what they want to talk to them about.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Comments (1)
This is a valuable opportunity for financial professionals to discuss "real life" scenarios from the field. How regulatory issues and compliance mandates affect us from a practical standpoint. Hopefully, discussions will be taken seriously and necessary outcomes or initiatives will be considered.
Posted by maree m | Wednesday, March 19 2014 at 12:35PM ET
Add Your Comments:
Not Registered?
You must be registered to post a comment. Click here to register.
Already registered? Log in here
Please note you must now log in with your email address and password.

Already a subscriber? Log in here