As financial advisors await key rules affecting nearly every aspect of how they operate, the timing couldnt be better for the Financial Industry Regulatory Authoritys three-day annual conference in D.C.
SEC Commissioner Elisse Walter keynotes on Monday at 10:30am, followed by a panel discussion featuring industry compliance executives and moderated by FINRA Chief Executives Rick Ketchum. On Tuesday, Ketchum will speak about the latest from the self-regulatory organization and FINRA executives will field attendee questions on the rules, enforcement and examinations, among other topics.
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