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Southern California Compliance Group

The Southern California Compliance Group provides an open forum for candid discussions with industry personnel and members to solve current compliance issues.

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Home→FINRA Rule Filings

FINRA Rule Filings

  • SR-FINRA-2022-033
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2022-032
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2023-006
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2023-013
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2023-010
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2023-007
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2023-016
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2024-004
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2024-012
    Source: FINRA Rule Filings Published on 2024-12-06
  • SR-FINRA-2024-019
    Source: FINRA Rule Filings Published on 2024-12-06

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If you are having trouble logging in or registering for the Quarterly Meeting please email secretary@sc-cg.org.

2025 Quarterly Meetings

  • Tues, February 11, 2025
  • Tues, May 20, 2025
  • Tues, August 12, 2025
  • Tues, November 4, 2025

Time: 11:30 am to 1:00 pm
Meetings are also being held virtually.

  • Los Angeles
  • San Diego
  • Newport
  • Pasadena

2025 Social Networking Events

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