Webinar: Creating and Executing Effective, Customized Branch Examinations
Date: Thursday, September 15, 2016 Time: 2:00pm ET / 1:00pm CT / 12:00pm MT / 11:00am PT / 10:00am AT As the end of the year approaches, many firms are evaluating how, and whether they are able to complete their branch exams schedule. FINRA Rule 3110(C) (1) says that branch exam inspections must be completed… READ MORE
