Carla Romano
VP and Chief Compliance Officer
FINRA
Chicago, Illinois
Please join Carla for a dynamic update on the Current Regulatory Issues
in the BDIA world. Attendees will learn about sales practice
obligations regarding the sale of cash alternatives as well as sales of
securities in a high yield environment during this update. Carla will
also address Sales of New Products, including due diligence and
training. Lastly, attendees will learn about current FINRA examination
areas of focus and findings.
