Updated Thursday, October 30, 2014 as of 9:04 AM ET

SEC, FINRA to Host B-D Compliance Events

The SEC and FINRA want to reach out and talk directly to advisors—but they’re not saying, at least for now, what they want to talk to them about.

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Comments (1)
This is a valuable opportunity for financial professionals to discuss "real life" scenarios from the field. How regulatory issues and compliance mandates affect us from a practical standpoint. Hopefully, discussions will be taken seriously and necessary outcomes or initiatives will be considered.
Posted by maree m | Wednesday, March 19 2014 at 12:35PM ET
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