Independent Broker Dealer Consortium


  • All Presentations
  • 2016
  • 2017
  • 2018
  • 2019
  • 2021
  • 2023
  • 2024

Finra’s New Oba Rule

Potential Benefits and Potential Issues
View Online

Reconciling Sec & Finra

Examinations in Complex Products and Business Practices
View Online

Knowing Your Arbitrator:

Understanding how FINRA Arbitrators are Chosen, Trained, and Decide Cases
View Online

Rogue Brokers

Issues and Strategies for Representing the Firm
View Online
linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram