July 24, 2013
1:00 p.m. – 4:00 p.m.
One Metropolitan Square
211 N. Broadway
St. Louis, MO 63102-2750
By July 17, 2013
ACA may provide information about roundtable attendees (name, company name, provided address, phone, and email information) to our event co-sponsors. However, you may opt out of this information sharing if you prefer (see instructions following registration).
||Register NOW for a complimentary workshop designed to assist broker-dealer and investment adviser compliance professionals in dealing with current tough regulatory challenges. Our industry-knowledgeable speakers and panelists from Global Relay, ExamFX, Bryan Cave, ACA and the industry will discuss topics relevant to regulatory requirements.
|Investment Adviser Session
|Regulatory Exams and Hot Topics
CLE credit has been applied for in Missouri.
If you would like to ask a question anonymously, please submit it prior to the meeting. We will respond to it during the roundtable.
Please contact Dee Stafford at email@example.com any questions.