Webinar
03.31.2021
Join us for our next webinar, Senior & Vulnerable Investors: Best Practices and Regulatory Updates, co-hosted by Hardin Compliance Consulting. Our panelists discuss best practices for broker-dealers and investment advisers to protect their vulnerable clients while navigating the complex web of different obligations under federal and state laws and FINRA rules.
CLE credits approved in NY, and giving reciprocity credit to NJ, CA, WA and FL.
CLE credits pending in NC, TX and PA.