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Explore FINRA 2019 Regulatory and Examination Priorities

February 21, 2019
1:00 PM - 3:00 PM EST
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Course Description:

In keeping with the previous year, FINRA released its second exam findings report last year. In 2019, FINRA will continue to improve its exam program focusing on compliance, supervisory, and risk management programs.

With the newly released FINRA 2019 Risk Monitoring and Examination Priorities Letter, this course assembles subject matter experts to 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. This year’s priorities include the areas such as cybersecurity, high-risk brokers, product suitability, senior investors, outside business activities, private security transactions, supervision of digital assets, and customer due diligence. Be the first to know and learn how best to address them.

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

For Whom: 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

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