1a. BD – Regulatory Review (OPEN)


Hear directly from FINRA regulators who will explain FINRA’s examination program as well as FINRA’s 2019 examination priorities. The panel will provide feedback from various examination findings made by FINRA and discuss current rulemaking initiatives. The panel will also touch upon Regulation Best Interest and what regulatory changes broker-dealers can expect from FINRA. Such information will highlight regulatory and enforcement matters to help compliance professionals stay abreast of timely regulatory issues and improve their compliance programs. Attendees will also be provided the opportunity to ask questions of the panel. This session is open to regulators and members of the press.
Advanced Preparation: None
Pre-requisites for participation: None
Learning Objectives:
• Understand FINRA’s new process on risk monitoring to identify emerging regulatory issues
• Review FINRA’s 2019 examination priorities
• Discuss FINRA’s Report on Examination Findings as well as the FINRA360 Progress Report and findings in other topical FINRA examination reports
• Examine current FINRA rulemaking initiatives and noteworthy enforcement cases

Sponsored by:

Panel                        Program Level: Intermediate Date: October 21, 2019 Time: 9:50 am - 11:05 am Norm Ashkenas Robert Colby Michael Rufino

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