finra compliance guide

June 1, 2020: Rogge Dunn To Speak at FINRA Webinar Regarding FINRA Regulatory Notice 19-31

Notice: this webcast was originally scheduled for May 14, 2020. It has been rescheduled for June 1, 2020.

Rogge Dunn will be speaking in The Knowledge Group’s live webinar regarding FINRA Regulatory Notice 19-31. The webinar, titled “FINRA Compliance Guide: Key Takeaways from Common Mistakes,” will address regulatory notice and disclosure issues for advertisements and public communications. It will take place on Monday, June 1, 2020 from 3:00pm – 4:30pm (ET).

Dunn will be discussing the recent notice released by FINRA, Regulatory Notice 19-31, as well as critical issues and common pitfalls of the FINRA compliance guide.

The live webcast will discuss the following key provisions:

  • Regulatory Notice 19-31: An Overview
  • Other Trends and Developments
  • Common Risks and Pitfalls
  • Compliance Tools
  • Best Compliance Practices

For more information about the webinar, click here.

To learn more about Rogge Dunn’s experience with significant matters in the financial industry, click here.

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