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Red Flags 2014 BD and RIA hot topics

Red Flags 2014 BD and RIA hot topics. Regulators continue to amend and draft new regulations as they proceed to implement the JOBS Act, Dodd-Frank and consolidate the NASD/NYSE Rule books. The focus for this event is on the M&A Brokers No Action letter, Crowdfunding, Cyber security and Structuring a compliance program. Hear from experts and have the opportunity to engage them with some of your specific questions. Please join us for a complimentary seminar and luncheon.  Click Here to Register

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