Loeb & Loeb is pleased to announce that partner Stephen H. Cohen will be a speaker at the 2010 National Society of Compliance Professionals National Meeting.
From the conference website:
Selected Agenda
Monday, November 1, 2010
8:30am – 10:00am :: Pre-Conference Course
Entry Level I(a) BD – An Introduction to FINRA Regulations and the Role of the Compliance Officer
• Oversight and supervisory responsibilities, including written supervisory procedures
• Registration and reporting requirements
• Serving as your firm’s regulatory interface
• Using risk assessments to enhance the annual review process
Speakers:
Stephen H. Cohen, Loeb & Loeb LLP
Kenneth M. Cherrier, Waddell & Reed, Inc.
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