2019 Securities Compliance Seminar

May 1 – 3, 2019 | Marriott Pompano Beach Fort Lauderdale Hotel | Pompano Beach, Florida

This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory “hot button” priorities.

Obtain CLE / CPE accreditation (among others).

2-for-1 (in-state Florida only), first-timer & team discounts are available. Contact Dorcas Pearce for details.

Early Bird registration (until April 9)

$995/member & regulator/govt/SRO
$1,195/non-member

Late registration (after April 9)

$1,195/member & regulator/govt/SRO
$1,395/non-member