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Whitepaper: Overheard at the 2022 FINRA Annual Conference

Tuesday, October 11, 2022

When we attended this spring’s FINRA annual conference, we came home with a lot of new knowledge. Our teams participated in some really great sessions. We listened and picked up great information from the event speakers. We had great discussions with industry peers and experts. More than that, though, we learned from the financial professionals who stopped by our booth.

They shared their challenges in today’s demanding regulatory environment, and we found some common threads between our conversations.

We realized – if they’re feeling it, others in the industry must be too. We put together some of their top pain points and challenges around financial compliance software and compiled some solutions.

And now we’re making it available to you. Download your copy and let us know if there are other pain points you’re experiencing that we should also include.

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About Red Oak Compliance Solutions

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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