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804.965.5400
4128 Innslake Dr.
Glen Allen, VA 23060
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Webinar: Creating and Executing Effective, Customized Branch Examinations

Posted on August 19th, 2016 by Libby Hall

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

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Polly Cordle,Managing Director

Polly uses her experience as a CCO, Supervisory Principal, and in in Brokerage Operations and Training roles to provide leadership in the implementation, training and support for Oyster Solutions.

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