Current Regulatory and Examination Priorities for Broker-Dealers
Is your firm prepared for a regulatory visit? Both FINRA and the SEC have released their 2015 examination priorities, which give broker-dealer and dual registrants valuable insight into how to prepare for the year ahead. This session will provide broker-dealer and dual registrant compliance professionals with a virtual, real-time briefing on FINRA’s 2015 examination priorities, SEC examination priorities affecting broker-dealers and dual registrants, possible implications for your firm, and best practices you can use to enhance your existing compliance program. Topics covered include branch office supervision, sales practice and suitability concerns of complex products, high-risk and recidivist brokers, senior investors, Anti-Money Laundering, cybersecurity, and more.
After attending this course, attendees should be able to:
- Identify current FINRA and SEC examination priorities and determine which regulatory developments affect your firm
- Use best practices to create strategies for meeting regulators’ expectations
- Develop and maintain a state of regulatory preparedness in order to strengthen and enhance your firm’s compliance program
For whom: Designed to increase the professional competence of broker-dealer and dual registrant compliance professionals with legal, compliance, operations, technology, administrative and management responsibilities.
Suggested Skill Level: Basic
Instructional Method: Group Internet-Based
Pre-requisites for participation: No prerequisites are required.
Advance Preparation: None
Continuing Education Credits:
NRS Continuing Education Guide
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP CE Credit: 2
Maximum Recommended CA MCLE Credit: 2
Recommended CFP Credit: 2