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SEC And FINRA To Hold National Compliance Outreach Program For Broker-Dealers
- Source :
- Mondaq Business Briefing. May 18, 2015
- Publication Year :
- 2015
-
Abstract
- On May 12, the SEC and FINRA announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum [...]
- Subjects :
- United States. Securities and Exchange Commission -- Laws, regulations and rules
Brokers -- Laws, regulations and rules
Regulatory compliance -- Laws, regulations and rules
Government regulation
Business, international
Financial Industry Regulatory Authority Inc. -- Laws, regulations and rules
Subjects
Details
- Language :
- English
- Database :
- Gale General OneFile
- Journal :
- Mondaq Business Briefing
- Publication Type :
- News
- Accession number :
- edsgcl.414070224