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Printer-Friendly Last Updated: 8/18/08 District 3A (Denver) - Preventive Compliance Meetings

Monday, October 6, 2008 - Santa Fe, New Mexico
 

Location: Offices of the New Mexico Securities Division

Compliance Roundtable

Discussion Topics:  

• Regulatory Updates
• Relevant Rules and Regulations 
• Current Interests and Issues

Please see registration form for more information.

Please continue to look to this page for updates and future events.

District Office Contact: 

Susan Chu
FINRA - District 3A
4600 S. Syracuse Street

Suite 1400
Denver, CO 80237
(303) 446-3104 tel
(303) 620-9450 fax

 

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.