finra compliance guide

May 14, 2020: Rogge Dunn To Speak at The Knowledge Group’s Live Webinar, “FINRA Compliance Guide: Key Takeaways from Common Mistakes.”

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.

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