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Panelist – FINRA Annual Conference

I was a panelist at the annual FINRA Conference in Washington DC.

The session was, Managing Compliance Costs: Doing it Yourself, Outsourcing and Consultants.

The session was well attended as there were several hundred people in attendance at the conference. What made the panel unique was that real day-to-day operational questions relating to broker dealers were addressed and various forms as well as practical material were given to the attendees.

This was a great conference with many great sessions and I recommend that all Members attend next year!

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