District 10 (New York) - Preventive Compliance Meetings

Preventive Compliance Meeting

Thursday, December 3, 2009
Breakfast: 8:00 - 8:30
Presentation: 8:30 - 10:00

 

Bayard's
One Hanover Square
New York, NY 10004
(Continental Breakfast)

 

Topic: Rule Consolidation & Year in Review

 

To attend, please register by November 27th.

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Please continue to look to this page for more information on future events.

 

District Office Contact 

 

Rosalie Tardi 

FINRA – District 10, New York

1 Liberty Plaza

New York, New York 10006

(212) 858-4178 tel

(212) 858-4078 fax

 

Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.