News & Events

Back by popular demand is a rebroadcast of our standing room only 2015 Seminar.

• Hot Topics in Broker-Dealer Audits
• Insider Trading after the Newman Decision
• The SEC’s Proposed Changes to Form ADV
• Pitfalls of Trading Private Company Shares
• Cybersecurity

Date: Wednesday, March 2, 2016

Time: 9:00 a.m. – 11:30 a.m. (pst)

To register please click here

Please Note: You must have audio capabilities on your computer to participate in this webinar.