October 15 – 1:00 PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE Workshop will provide an in-depth look at the SEC and PCAOB requirements related to the broker-dealer’s exemption report. You will…
October 15 – 1:00 PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE Workshop will provide an in-depth look at the SEC and PCAOB requirements related to the broker-dealer’s exemption report. You will…