Rogge Dunn Speaking in Live Webcast| FINRA’s Crackdown on High-Risk Brokers

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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.”

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