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