From: LeapRate
Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27.
Registration opened today for the program, which is designed to provide an open forum for regulators and industry professionals, including compliance, audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote an effective compliance structure for the protection of investors.
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