Video Results from YouTube.com
Published in : 2014-07-10 | by thebeckfirm
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients.
Published in : 2014-08-01 | by Smarsh
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances ...
Published in : 2016-01-11 | by Puppet
Peter Magnaye, director of enterprise technology services, describes how Puppet has helped FINRA meet or exceed compliance standards that FINRA ...
Published in : 2019-01-30 | by NCS Regulatory Compliance
As befits the new year, we will host a webinar incorporating highlights of what we see as FINRA's examination priorities for 2019. The discussion will reflect what ...
Published in : 2013-08-27 | by Securities Training Corporation
In 2006, FINRA ruled that firms may now use On-Demand Webcast technology to deliver their Annual Compliance Meeting (ACM) without using a live facilitator.
Published in : 2018-01-02 | by Sequence Media News
FINRA, the Financial Industry Regulatory Authority, a private corporation that acts as a self-regulatory organization, recently published a report detailing where ...
Published in : 2017-12-01 | by Amazon Web Services
Financial Impact Regulatory Authority (FINRA)'s Technology Group has changed its customers' relationship with data by creating a managed data lake that ...
Published in : 2019-02-15 | by Alex Moen
For more info check out http://znetworks.biz or email: alex.moen .AT. znws.com] Every situation is a bit different, but these few starting blocks should help. 1.
Published in : 2018-03-27 | by FINRA - Financial Industry Regulatory Authority
Join us at the 2018 FINRA Annual Conference to discover new perspectives and gain an inside view of regulation and compliance. Watch the video to learn ...
Published in : 2018-06-15 | by Retirement News Today
FINRA, the Financial Industry Regulatory Authority, a private corporation that acts as a self-regulatory organization, recently published a report detailing where ...