2d. BD – FINRA Regulatory Review (OPEN)


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.
Learning Objectives:  View Session

  • Review FINRA’s 2021 Report on FINRA’s Examination and Risk Monitoring Program, and discuss recent exam findings and emerging areas of risk
  • Hear an overview of FINRA’s Examination and Risk Monitoring Transformation and early observations
  • Learn about current rulemaking initiatives
  • Discuss ongoing initiatives and trends

Sponsored by

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 11:30 am - 12:45 pm Robert Colby Carlo di Florio Joseph Sheirer

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