News
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Consumer Protections for Retirement Investors – FAQs on Your Rights and Financial Advisers
SEC Announces 2017 Exam Priorities
FINRA’s 2017 Regulatory and Examination Priorities Letter
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
FINRA Announces New Conference Schedule
February 3, 2016 : Compliance Outreach for Municipal Advisors: http://www.finra.org/industry/compliance-outreach-program-municipal-advisors
February 11, 2016 : Cyber Security Conference in New York City: http://www.finra.org/industry/2016-finra-cybersecurity-conference
April 6, 2016 : FINRA Diversity Summit in New York City: http://www.finra.org/industry/2015-finra-diversity-summit
May 23-25, 2016 : FINRA – Annual Conference in Washington DC: http://www.finra.org/industry/2016-finra-annual-conference
September 7, 2016 : Fixed Income Conference: http://www.finra.org/industry/2016-fixed-income-conference
November 9-10, 2016 : Small Firm Conference: http://www.finra.org/industry/2016-finra-small-firm-conference
Thornton & Associates, is a full service compliance consulting firm. For more information about our Compliance, FinOp and AML services please call us at (877) 542-6759 or at www.thorntonandassociates.com