District 10 (New York) - Preventive Compliance Meetings

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Preventive Compliance Meeting

 

Monday, September 8, 2008 - New York City, New York

 

8:30 a.m. - 10:00 a.m.

(Continental Breakfast)

 

Registration Fee: $30

 

Bayard's
One Hanover Square
New York, NY 10004

(212) 514-9454
View Map

Topics:

• SEC Amendments to Rule 144 & Reg D

How to Register:

 

Please see registration form for more information.

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Preventive Compliance Meeting
 

Wednesday, October 15, 2008 - New York City, New York

 

8:30 a.m. - 10:00 a.m.

(Continental Breakfast)

 

Registration Fee: $30

 

Bayard's
One Hanover Square
New York, NY 10004

(212) 514-9454
View Map

Topics:

• Administrative Recordkeeping

How to Register:

 

Please see registration form for more information.

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Preventive Compliance Meeting

Wednesday, December 10, 2008 - New York City, New York

 

8:30 a.m. - 10:00 a.m.

(Continental Breakfast)

 

Registration Fee: $30

 

Bayard's
One Hanover Square
New York, NY 10004

(212) 514-9454
View Map

Topics:

• Year-End Review
• Focus on 2008 NTMs and Rule Changes

How to Register:

 

Please see registration form for more information.

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District Office Contact: Rosalie Tardi at (212) 858-4178

 

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.