The event will be held on April 9th, 2013, in Washington, DC.
Topics include:
- Compliance and Ethics
- Sales Practice
- Trading Practice
- Net Capital
- Enterprise Risk Management
The SEC release can be found here. The agenda can be found here.
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Posted by Jack Duval
Jan 30, 2013 4:54:18 AM
The event will be held on April 9th, 2013, in Washington, DC.
Topics include:
Topics: sales practice, SEC, Compliance, regulation.