FINRA regulators will explain FINRA’s new examination program as well as FINRA’s 2021 examination priorities. The panel will review various examination findings made by FINRA and discuss current rulemaking initiatives. The panel will also touch upon the impact of the pandemic on FINRA’s rules, including the retrospective Notice 20-42. This information will highlight material regulatory matters to help compliance professionals stay abreast of timely issues and improve their compliance programs. Attendees will have the opportunity to ask questions of the regulatory panel.
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