Rogge Dunn will be speaking in The Knowledge Group’s live webinar, titled “FINRA Compliance Guide: Key Takeaways from Common Mistakes.” The webcast will take place on Thursday, May 14, 2020 from 3:00 pm to 5:00 pm (ET).
Rogge 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.