Year-End Wrap Up for Broker-Dealers

As the year comes to a close, compliance professionals know it’s time to tie up loose ends. 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
  • Last Call Reviews