Upcoming Events

For a full list of our upcoming events, click here

SRO Examination Series 2 – Trading Conduct Compliance Exam

  • April 04, 2023
  • 8:00 am - 10:30 am

SRO Examination Series 3 – Business Conduct Compliance Exam

  • May 09, 2023
  • 8:00 am - 10:30 am

Key Considerations in ETF Portfolio Construction

  • May 16, 2023
  • 3:00 pm - 4:00 pm

Compliance & Legal: Everything You Wanted To Know But Were Afraid To Ask

  • June 05, 2023
  • 8:00 am - 6:30 pm
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