2018 Securities Compliance Seminar

April 18-20, 2018 | Sheraton Charlotte Hotel | Charlotte, North Carolina

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).

Team, government/regulatory/SRO, first-timer and in-state (Florida) discounts are available...contact Dorcas Pearce for details.

Early Bird registration (until March 27)


Late registration (after March 27)