8d. BD – FINRA Regulatory Overview (OPEN)
Interact with FINRA regulatory staff, who will review current and emerging regulatory and exam priorities and risk monitoring focus areas for broker-dealers. Panelists will also highlight current rulemaking initiatives, recent interpretive guidance, and regulatory notices. This session is designed to help compliance professionals stay abreast of timely regulatory issues and improve their compliance programs.
The session is open to regulators but closed to members of the press.
Learning Objectives:
Discuss FINRA exam and risk monitoring priorities.
Review recent exam deficiencies, trending areas of risk, and effective practices to avoid such deficiencies.
Understand current rulemaking initiatives, interpretive guidance, and regulatory notices.
Review best practices to improve your compliance program.
