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Upcoming Webinars

BD/IA COmpliance Sessions 002

In a repeat of our first Monthly BD / IA Session, we'll be getting tactical on FINRA regulation & exam priorities with Lisa Roth, President of Monahan & Roth, LLC.

This session includes templates and worksheets that will let you take what you learn during the session and immediately apply it in the real world.

This is a must-attend for CCOs, COOs, and anyone else involved in compliance management at a modern securities firm.