Web00 Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210 (B2BC Track) This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules, or experienced practitioners interested in need of a refresher. During this session, panelists provide an overview of FINRA Rule 2210 (Communications WebJun 16, 2024 · The relief granted by FINRA in the Letter further assists member firms regarding their compliance with Rule 2210 when using Related Performance Information in registered investment company marketing materials designed for institutional investors. However, the relief also leaves a number of interpretive questions unanswered. For …
2024 Investment Adviser Compliance Conference
WebJan 7, 2014 · In December 2013, Structured Products magazine hosted a regulatory and compliance conference in Washington, D.C. The panels included representatives… WebAug 31, 2024 · FINRA Rule 2210 Section 4 includes requirements for recordkeeping. All retail communications and institutional communications require detailed records. According to the rule, the retention period must align with SEA Rule 17a-4 (b) requirements. Per these requirements, every broker-dealer must preserve their records for at least three years. busters murfreesboro
Annual Conference - Agenda with Session …
WebJoin us for SIFMA’s Social Media & Digital Marketing Seminar! #SIFMAsocial brings together leading names in private wealth management for in-depth discussions with financial advisors, marketing experts, and legal and compliance professionals on innovative ways to leverage social media and digital marketing. WebMay 16, 2024 · Add to Calendar 2024-05-16 10:00:00 2024-05-16 23:00:00 Chair Gensler: 2024 FINRA Annual Conference. ... SEC Chair Gary Gensler will participate in a fireside chat at the 2024 FINRA Annual Conference. See agenda and registration details. STAY CONNECTED 1 Twitter 2 Facebook 3 RSS 4 YouTube 6 LinkedIn 8 Email Updates. … WebThank You to the 2024 Compliance Conference Planning Committee. Larry Nakamura, Chair. Vice President & CCO. CI Private Wealth, LLC. Scott Barber. Associate General Counsel, Senior Vice President – Legal. Focus Financial Partners. Lewis … cch arm research