WASHINGTON - An industry group has asked regulators to disclose the factors they will use to determine which muni broker-dealers pose more risks and should undergo compliance examinations more often under a new proposed exam program.
SIFMA Wants Specifics on Compliance Exam Factors
NOV 23, 2011 5:46pm ET
March 1- 3, 2015The Westin Beach Resort & Spa, Fort Lauderdale, FL
October 21-23, 2015San Francisco Marriott Marquis, San Francisco, CA