Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1d. BD – Interaction with the FINRA MAP Group on Rule 1017 (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. IA/IC/PF – Cybersecurity Risk Management (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1g. IA/PF - Annual Review of Policies and Procedures (Basic - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL - Building your Compliance Team (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. BD – Cybersecurity Risk Management (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. PF – Performance Presentations in Fund Marketing (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Small to Medium Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2h. BD/IA - Dual Registrants Talk Group (Large Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Luncheon & NSCP Business Meeting (OPEN) 12:30 PM - 1:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3a. ALL – Ethical Practice Programs in Action (Intermediate - OPEN) 1:45 PM - 3:00 PM Read More Monday Holly Orefice 4/8/22 Monday Holly Orefice 4/8/22 3b. ALL - Supervision & Compliance of Off-Channel Communications (Intermediate - OPEN) 1:45 PM - 3:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3c. ALL LAB – MNPI: Preventing Illegal “Insider Trading” (Intermediate - CLOSED) 1:45 PM - 3:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3d. ALL – Responding to Regulatory Investigations and Inquiries (Advanced - OPEN) 1:45 PM - 3:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3e. IA - Custody: Traps for the Unwary (Basic - OPEN) 1:45 PM - 3:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3f. IA LAB - Compliance Testing and Surveillance for Advisers (Intermediate - CLOSED) 1:45 PM - 3:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3g. ALL - Emerging Leaders Talk Group (CLOSED) 1:45 PM - 3:00 PM Read More Newer Posts Older Posts
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1d. BD – Interaction with the FINRA MAP Group on Rule 1017 (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. IA/IC/PF – Cybersecurity Risk Management (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1g. IA/PF - Annual Review of Policies and Procedures (Basic - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL - Building your Compliance Team (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. BD – Cybersecurity Risk Management (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. PF – Performance Presentations in Fund Marketing (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Small to Medium Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2h. BD/IA - Dual Registrants Talk Group (Large Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Luncheon & NSCP Business Meeting (OPEN) 12:30 PM - 1:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3a. ALL – Ethical Practice Programs in Action (Intermediate - OPEN) 1:45 PM - 3:00 PM Read More
Monday Holly Orefice 4/8/22 Monday Holly Orefice 4/8/22 3b. ALL - Supervision & Compliance of Off-Channel Communications (Intermediate - OPEN) 1:45 PM - 3:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3c. ALL LAB – MNPI: Preventing Illegal “Insider Trading” (Intermediate - CLOSED) 1:45 PM - 3:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3d. ALL – Responding to Regulatory Investigations and Inquiries (Advanced - OPEN) 1:45 PM - 3:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3e. IA - Custody: Traps for the Unwary (Basic - OPEN) 1:45 PM - 3:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3f. IA LAB - Compliance Testing and Surveillance for Advisers (Intermediate - CLOSED) 1:45 PM - 3:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3g. ALL - Emerging Leaders Talk Group (CLOSED) 1:45 PM - 3:00 PM Read More
