Conference Notes: For Less Than the Cost of a Snuggie!

I attended the Small Firms Conference that FINRA presented on April 7 in NYC--and guess what? I took notes! I apologize for the delay in putting my notes into digital format. Thanks to Gokey voters (see below), I have now finished this process. Rather than post the document here (it's 12 pages long), I will be happy to email it to you upon request.

Please hit this link and send me a request for the notes. I'll send them over without even asking why you care so much, what with the economy in the tank, the Taliban gaining power, and an AI top 3 without Allison. Your priorities are your own business. mailto:inquiry@imhoffconsultingproject.com

Here are some topics sure to lure you:

• BORAM;
• Broadened supervisory authority over outside business activities;
• Required reporting of internal violations;
• Circulation of rumors (and rumors of rumors);
• Principles-based research rules;
• Customer data protection--when your reps leave;
• PCAOB compliance; and
• Unanswered questions (are you surprised?).

I'll be standing by. No credit card required.