Stephen Pope, Senior Vice President of Red Oak Compliance will be discussing Books and Records: Regulatory Reporting in the SANDBOX today at 10am PST and tomorrow, Thursday, November 8th at 2:25pm PST. Come by and say hello! #SeismicShift18
For more information about Red Oak Compliance Workflow Software please check out our website or shoot us a message.
The financial services industry is no stranger to change. In the recent webinar, “Navigating FINRA’s New API for Registration Management,” we dove into the evolution of regulatory data exchange with…
Red Oak made a strong showing at this year’s NSCP National Conference in Dallas, and our consultants compiled their top 10 takeaways from the event. 1. Off-Channel Communications: A High-Risk…
I’ve attended many FINRA Advertising conferences over the years, and candidly speaking, this was one to remember for so many reasons. The event is always first class, and it’s always…
