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
Union League Club, Philadelphia, PA
October 21-23, 2015San Francisco Marriott Marquis, San Francisco, CA
Omni Providence Hotel, Providence, RI