NOTE: Contact Sponsoring Organization to Register or for Event Details.
Nov 16-17. Compliance 101 for IT Professionals
- Fincl Markets World (www.fmwonline.com)
- New York, NY
Nov 18. NY Fall Compliance & Legal Seminar
- SIFMA C&L Div. (www.sifmacl.org)
- Marriott Marquis, New York, NY
Nov 18-19. Securities Operations BootCamp
- Fincl Markets World (www.fmwonline.com)
- New York, NY
Nov 26. HOLIDAY: Thanksgiving
- Markets Closed
Dec 1. OFAC Financial Sector Symposium
- OFAC/U.S. Treasury. (www.ustreas.gov)
- Federal Reserve Bank Conference Center, New York, NY
Dec 2. Hedge Fund Compliance & Risk Seminar
- Fincl Technologies Forum (www.ftfnews.com)
- New York, NY
Dec 25. Holiday: Christmas Day
- Markets Closed
Jan 15, 2010. Quarterly Customer Complaints Due
- NASD Rule 3070
- NYSE Rule 351
