Broker-dealer Year-End Compliance Review for 2016

Our goal is to help broker-dealer firms understand their annual requirements.  Join us for this annual “check-up” designed to help make certain all your “i’s” have been dotted and “t’s” have been crossed.  Our discussion will include:

* Review year-end and early 2017 deadlines
* Review required 2016 regulatory requirements
* Discuss trending industry topics and recent FINRA and SEC priorities including:

– Cybersecurity
– Seniors and vulnerable investors 
– Outside business activities