FINRA Exams and Broker-Dealer Regulatory Update
Course Description: This session will provide broker-dealer and dual registrant compliance professionals with a virtual, real-time briefing on recent examination and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen.
After attending this course, attendees should be able to:
- Identify SEC and FINRA examination priorities to determine which regulatory developments affect your firm and to develop strategies for meeting the regulators’ expectations
- Use the update on and analysis of FINRA and SEC regulatory initiatives to help define the potential impact of recent initiatives on broker-dealers
- Apply best practice to prepare for and grapple with today's shifting and ever-increasing regulatory and compliance demands
- Create an effective risk management compliance program to help you and your firm develop a strong compliance program
For Whom: Designed to increase the professional competency of broker-dealer professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Pre-requisites for participation: The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Securities Act of 1933 and the Securities Exchange Act of 1934.
Advance Preparation: None
Continuing Education Credits:
See 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