Webbroker-dealer compliance program. Broker-dealers (BDs) recently caught a break, with the U.S. Securities & Exchange Commission extending its “no-action relief” for BD customer identification obligations, according to a memo. 1 SEC guidance allows brokerage firms to rely on their registered investment adviser (RIA) third parties to conduct ... WebDON'T WAIT until it's involuntary. www.servbossinc.com 888-899-9372 [email protected] Learn more about Reese …
What you Need to Know about FINRA’s CE Proposal …
WebNov 21, 2015 · Mar 1991 - Jul 19943 years 5 months. FIS Insurance Agency and FISCO Equity is a third party marketing firm, which provided … WebRing the bell and follow me! For 20+ years, I served at the Financial Industry Regulatory Authority, most recently as Executive Vice President for Regulatory Policy and Legal Compliance Officer. maggi concorso 2021
Events & Training FINRA.org
Web13 Series 24 Finra jobs available in Hartsfield-Jackson Atlanta International Airport, GA on Indeed.com. Apply to Compliance Officer, Examiner, Branch Manager and more! Skip … WebCompliance Management Whether you're a compliance officer or insurance carrier, we can help you stay compliant with best-in-class technology and unparalleled customer support. SCHEDULE A DEMO … WebApr 12, 2024 · Education and Compliance Programs. Firm compliance personnel who are new to registration and licensing—or would like to become more familiar with navigating related systems—are invited to join FINRA virtually for an upcoming Registration Systems Foundation training. These training sessions run noon to 5 p.m. ET on two consecutive … maggi concorso 2022