Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8a. IA/PF – Valuing Hard to Value Securities (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8b. ALL – Regulatory Implications for Artificial Intelligence (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8c. ALL LAB - Compliance Escalation and Remediation (Intermediate - CLOSED) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8d. BD – FINRA Regulatory Overview (OPEN) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8e. BD/IA – Insurance Compliance: Balancing State and Federal Regulations (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8f. IA – Advisory Fee Billing: Risks and Best Practices (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8g. IA LAB - Best Practices for Drafting & Revising Codes of Ethics and Conduct (Advanced - CLOSED) 3:45 PM – 5:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8h. IA - Multi Family Office Considerations Talk Group (CLOSED) 3:45 PM – 5:00 PM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9c. BD/IA – Understanding the DOL Retirement Security Rule (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9d. IA/IC/PF - Outsourcing to Service Providers (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN) 11:00 AM - 12:00 PM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More Tuesday Holly Orefice 4/6/22 Tuesday Holly Orefice 4/6/22 8i. PF - Private Fund Manager Talk Group (CLOSED) 3:45 PM – 5:00 PM Read More Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10d. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More Tuesday Meghan Flanagan 4/6/22 Tuesday Meghan Flanagan 4/6/22 Networking Reception (OPEN) 5:00 PM - 6:30 PM Read More Newer Posts
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8a. IA/PF – Valuing Hard to Value Securities (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8b. ALL – Regulatory Implications for Artificial Intelligence (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8c. ALL LAB - Compliance Escalation and Remediation (Intermediate - CLOSED) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8d. BD – FINRA Regulatory Overview (OPEN) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8e. BD/IA – Insurance Compliance: Balancing State and Federal Regulations (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8f. IA – Advisory Fee Billing: Risks and Best Practices (Intermediate - OPEN) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8g. IA LAB - Best Practices for Drafting & Revising Codes of Ethics and Conduct (Advanced - CLOSED) 3:45 PM – 5:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 8h. IA - Multi Family Office Considerations Talk Group (CLOSED) 3:45 PM – 5:00 PM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9c. BD/IA – Understanding the DOL Retirement Security Rule (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9d. IA/IC/PF - Outsourcing to Service Providers (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN) 11:00 AM - 12:00 PM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
Tuesday Holly Orefice 4/6/22 Tuesday Holly Orefice 4/6/22 8i. PF - Private Fund Manager Talk Group (CLOSED) 3:45 PM – 5:00 PM Read More
Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10d. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
Tuesday Meghan Flanagan 4/6/22 Tuesday Meghan Flanagan 4/6/22 Networking Reception (OPEN) 5:00 PM - 6:30 PM Read More
