Year-end can be a stressful time for Broker Dealers, but it doesn’t have to be. Now is the time to inventory outstanding requirements, complete reviews, and finalize documentation.
Join NCS Regulatory Compliance for a targeted discussion on year-end compliance for Broker-Dealers.
We will provide an overview and best practices for:
• Critical Testing & Inspections
• Registration Renewals
• Continuing Education
• Annual Compliance Meeting
• New Qualification and Registration Requirements
(Including new Principal Financial Officer and Principal Operations Officer)
• Last Call Reviews