On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has reviewed this report and summarized key takeaways in FINRA 2018 Exam Findings Report and Regulatory Update Reminder.
If you would like to join IBDC-RIAC Alliance Members at the April 10, 2024 Yankees vs Marlins baseball game, Yankee Stadium 7:00 pm, please send Lilian Morvay a message at: Lilian@IBDCconsulting.com and she will send you an invitation.
The following IBDC-RIAC Alliance Members will be your hosts: