Remember the Alamo, and the key points from the Ascendant Compliance conference in San Antonio! Hear our roundup of what you can expect from the SEC in the coming year.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
Recent ComplianceCast™ Minutes