Preventive Compliance Meeting
Wednesday, September 17, 2008 - San Francisco, California
1:30 p.m. - 4:00 p.m.
Registration Fee: $50
($45 per person for two or more participants from one firm)
Parc 55 Hotel
55 Cyril Magnin Street
San Francisco, CA 94102
(415) 392-8000
Topics:
Staff from the San Francisco District Office and an Industry Panelist will discuss current regulatory topics as they pertain to small and limited business broker dealers. The meeting will address the regulatory challenges of the small firm community and provide a forum for you to interact directly with FINRA staff and industry peers.
This event is only open to FINRA member firms.
How to Register:
Complete and return the registration form to FINRA, One Montgomery Street, 21st Floor, San Francisco, CA 94104.
For more information, contact Roni Aguila by email or at (415) 217-1102.
Please continue to look to this page for more information on future events.
District Office Contact: Roni Aguila at (415) 217-1102.
Only FINRA’s Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.
