nscp.org
Impact of Current State Regulatory Initiatives on Your Practice: "Speaking from the Other Side" | NSCP | Compliance Professionals | Financial Services | Membership Organization
Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join us to learn what you need to know for your practice or in-house compliance responsibilities. Topics will include: The standards of care debate: Regulation BI, State and NASAA …