2025 Securities Compliance Seminar

April 23-25, 2025
A 3-day in person event

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 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 accreditation (among others).

2-for-1, first-timer and regulator/SRO discounts are available. Contact Dorcas Pearce for details… and ask about an additional deep discount for ‘local’ (in-state) attendees.

Early Bird registration (until April 4)

$995/member & regulator/govt/SRO – 2-for-1 special offer
$1,195/non-member – 2-for-1 special offer

Late registration (after April 4)

$1,195/member & regulator/govt/SRO – 2-for-1 special offer
$1,395/non-member – 2-for-1 special offer