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CRITICAL INFORMATION YOU WON’T WANT TO MISS!
Financial professionals are invited to attend our FREE half day seminar on critical issues affecting broker/dealers, registered investment advisors and wealth managers.
Help your firm survive and thrive by learning what you’ll need to know about:
- Red Flag rules effective November 2013
- Hot FINRA topics
- Fiduciary responsibility
- Private placement rules
- Custody rules
The seminar will be live at the Grand Hyatt New York on Grand Central and streamed online.