REGULATORY WEBINARS
WEBCAST: SEC Exam Priorities - Originally Broadcast 02/27/2014
WEBCAST: AIFMD, The JOBS Act and Other Key Concerns for U.S. and Foreign Fund Managers - Originally Broadcast 01/22/2014
WEBCAST: Regulatory Compliance Discusses Exam Preparation and Compliance for NFA members - Originally Broadcast 08/23/2013
Thursday, June 23, 2016
Disclaimer: This webinar is the sole property of Regulatory Compliance, LLC, and the information provided is for informational and educational purposes only. The content of the webinar does not constitute any regulatory rules or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA, NFA, SEC or the rules of any other SRO, or futures laws. This webinar is provided "as is". Regulatory Compliance, LLC and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these videos in any form, nor reference them in any publication, without the express written consent of Regulatory Compliance, LLC.
