This one-day conference brings together compliance, supervision, and registration staff from broker-dealers and third-party vendors to discuss regulatory reporting requirements and industry practices related to firm registrations, including FINRA’s Membership Application Program (MAP), individual registrations, customer complaints and disclosures. Attendees learn of tools and reports available to monitor disclosures and identify high-risk branches and employees within an organization.
The 2018 Disclosure Reporting, Monitoring and Registration Conference took place on Tuesday, October 9, 2018 in New York City. View the conference brochure
If you are interested in being an exhibitor at one of our upcoming conferences, contact Jeff Arcuri at (508) 759-8180 or via email.
Please direct questions about registration to (800) 321-6273 or via email.
This event is open to the media. Please contact us with any media inquiries.