Rogge Dunn will be speaking in a live webcast hosted by Knowledge Group on December 11, 2018 at 12:00 p.m. – 2:00 p.m. (ET) on “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore” Register here
Key topics include:
- FINRA’s Guidance on High-Risk Brokers: Overview
- Recent Enforcement Trends
- Overlap with State Regulatory Focus
- Regulatory Updates
- Emerging Pitfalls and Risks
- Best Practices: Supervision and Compliance
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 ROGGEDUNN147549
“Register Now.”