FINRA Examination and Enforcement Focus 2012
10:50 AM – 12:00 PM
Thursday, May 17
What is of greatest concern to FINRA examiners and why? What are they finding that leads to enforcement actions? What are FINRA’s expectations and how can you meet those expectations? Learn from a FINRA official about examination priorities and recent enforcement actions and about steps you can take to protect your firm.
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