The Securities Litigation Expert Blog

The SEC is Holding a National Compliance Event for Broker-Dealers

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:


  • 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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Topics: sales practice, SEC, Compliance, regulation.

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