Auditorium




Regulatory Compliance Takes Center Stage

Tune in to learn about regulatory compliance issues through podcasts of client case studies, social media and PowerPoint presentations. Our compliance specialists demonstrate how they help clients' navigate through the sometimes rough waters of securities industry compliance.

Latest Podcasts



FINRA Exams and Preparations
Click here for complete transcript


Post Madoff Changes In Regulations
Click here for complete transcript


Achieving FINRA Approval after Multiple Rejections
Click here for complete transcript


Dealing with an Unexpected Course of Business due to an Illness of a Principal Owner
Click here for complete transcript