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:
• Understand FINRA’s new process on risk monitoring to identify emerging regulatory issues
• Review FINRA’s 2021 Report on FINRA’s Examination and Risk Monitoring Program, and current rulemaking initiatives
• Discuss FINRA’s Transformation and how it is impacting firms from surveillance and examinations to membership continuance
• Discuss ongoing initiatives and trends

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 11:30 am - 12:45 pm

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