WebJun 2, 2024 · The Asgard Team attended the 2024 FINRA Conference and gathered several key takeaways noted below. Topics covered include: Continuing Education Changes, Cybersecurity: Emerging Industry Priorities and Threats, Reg Best Interest: Lessoned Learned, Social Media and the Rise of Finfluencers, Remote Supervision, … WebA retail communication must be approved before the earlier of its first use or its filing with the FINRA Advertising Regulation Department (the “Department”).2 An appropriately qualified registered principal of the firm must approve each retail communication. However, a Series 16 Supervisory Analyst may review the following retail ...
SEC.gov Remarks at 2024 FINRA Annual Conference
Web00:00. 05:03. Given FINRA’s 2024 priorities announced back in January and continuous crackdown on encrypted apps, it’s no surprise that the Digital Communications and … WebNov 2, 2024 · 9. B2B Forum by MarketingProfs. The B2B Forum is a great space for B2B executives to meet and share advice on the best digital marketing tactics and … lampadina fulminata
SEC and FINRA personnel speak at Structured Products conference
Web00 Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210 (B2BC Track) This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules, or experienced practitioners interested in need of a refresher. During this session, panelists provide an overview of FINRA Rule 2210 (Communications WebMay 20, 2024 · May 20, 2024. Good afternoon. I want to thank the Financial Industry Regulatory Authority and Robert [Cook] for hosting me as part of this week’s … Web17 people interested. Check out who is attending exhibiting speaking schedule & agenda reviews timing entry ticket fees. 2024 edition of Advertising Regulation Conference will be held at Capital Hilton, Washington DC starting on 20th October. It is a 2 day event organised by Financial Industry Regulatory Authority (FINRA) and will conclude on 21-Oct-2024. lampadina g2