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NYC Broker Dealer, Investment Adviser Compliance Evening Conference

Broker/Dealer, Investment Adviser Compliance Officers LinkedIn Group

Thursday, May 10, 2012 from 5:00 PM to 8:30 PM (EDT)

New York, United States

NYC Broker Dealer, Investment Adviser Compliance Evening...
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When & Where


2 West 35th Street, Fashion District
New York, 10001

Thursday, May 10, 2012 from 5:00 PM to 8:30 PM (EDT)


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Organizer

Broker/Dealer, Investment Adviser Compliance Officers LinkedIn Group

The Broker/Dealer, Investment Advisers Compliance Officers LinkedIn Group is one of the largest non-profit social media networks for compliance and legal professionals on-line. The group consists primarily of securities attorneys and compliance officers from broker/dealer FINRA member firms as well as SEC registered and non-registered Investment Advisers. The member base also includes consulting professionals who specialize in compliance, legal, and regulatory IT vendor services as well as current and former regulators.

Co-hosted by Rosenthal Recruiting and Boston Compliance Associates. 

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