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| Web Seminars: for Current Customers. |
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Customer Training |
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For Broker-Dealers, Investment Advisers & Hedge Funds |
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Resources™ & Resources Plus™ Technology Training
September 09, 2010, 10am Pacific Time, FREE | Register
September 15, 2010, 10am Pacific Time, FREE | Register
September 22, 2010, 10am Pacific Time, FREE | Register
September 29, 2010, 10am Pacific Time, FREE | Register |
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Monthly Compliance Seminars |
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For Investment Advisers & Hedge Funds |
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Books & Records This session will go over general types of Books & Records and retention periods according to Record Keeping Rule 204-2. Need Continuing Education credits? Please attend this seminar and receive 1 CE credit for CFP, CLE in the state of California, CPE and IACCP.
September 21, 2010, 1pm Pacific Time, FREE | Register |
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For Broker-Dealers |
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FINRA Regulatory Notices: This session will cover significant FINRA Regulatory Notices so far in 2010.
September 09, 2010, 1:30pm Pacific Time, FREE | Register |
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