The North American Securities Administrators Association (NASAA) has planned a new training symposium for state securities regulators, industry professionals, and NASAA Corporate Office Staff. The Symposium will be held November 17-18 in Dallas and will focus on regulatory tools and systems professionals use daily.
In addition to offering opportunities to share best practices and exchange ideas, the event will foster collaboration across the regulatory community. Sessions at the event will address best practices for submitting filings via the NASAA Electronic Filing Depository (EFD), state concerns when reviewing Forms U4 and ADV filings as well as emerging matters affecting registration, licensing and compliance.
For more information on the Symposium, click on the link below:
https://www.nasaa.org/82564/inaugural-nasaa-rss-symposium/?qoid=current-headlines
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