Key topics include:
- FINRA’S Sanction Guidelines: An Overview
- Recent Trends and Developments in FINRA’s Sanction Guidelines
- Common Pitfalls and Risk Issues
- Risk Mitigation Techniques and Best Practices
- What Lies Ahead
Please note, complimentary passes are available for the first 30 registrants. Once all of the passes are used, attendees can register for the deeply discounted rate of $25 each courtesy of Rogge Dunn Group, PC.
Discount code ROGGEDUNN147607