Each year FINRA provides a valuable resource to help in the evaluation of your firm’s supervisory and education program. This resource is FINRA’s 2017 Regulatory and Examination Priorities Letter.
Join Instructors as they dissect and interpret this year’s priorities. Find out what new developments are being considered for existing areas and gain insight into emerging trends. Obtain guidance on meeting the goals of risk mitigation as they relate to your supervisory and training programs. Areas to be covered include high-risk brokers, senior investors, product suitability, outside business activities, private security transactions, retention and supervision of communications, and security of electronic data and systems.
After attending this course you will be able to:
- Review FINRA’s priority areas, their application to your firm, and how risks may be mitigated
- Identify examination trends and how best to prepare for them
- Initiate updates and enhancements to existing supervisory policies and procedures
- Evaluate continuing education topics with risk area expectations
Designed to increase the professional competence of broker-dealer 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:
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