Events

Join us at an upcoming webinar or conference

FINRA Annual Conference 2023

FINRA Annual Conference 2023

Meet InvestorCOM at the FINRA Annual Conference on May 16-18, 2023 in Washington DC. FINRA’s Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s […]

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SIFMA CL San Diego 2023

SIFMA C&L Annual Seminar 2023

Meet InvestorCOM at the SIFMA C&L Annual Seminar 2023 on March 12-15 2023 in San Diego. SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals […]

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Regulation Best Interest Case Studies

On-Demand Webinar    >>  FINRA and the Securities and Exchange Commission (SEC) brought their first Regulation Best Interest (Reg BI) enforcements this fall and have stated that they will be zeroing [...] Read More
ComplyConnect Conference & Expo

ComplyConnect Conference & Expo

November 8 – 10, 2022 | Austin, TX InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place at the Omni Barton Creek Resort & Spa […]

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NSCP National Conference 2021

NSCP 2022

Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 17-19 2022 in National Harbor, MD. Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following panel […]

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Reg BI Exams and Enforcement

On-Demand Webinar The SEC’s draft strategic plan highlights the enforcement team’s focus on recommendations made to retail investors. With the SEC scrutinizing the placement of retail investors’ funds, and the […]

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