3a. BD – Regulatory Review

FINRA regulators will explain FINRA’s new examination program as well as FINRA’s 2020 examination priorities. The panel will review various examination findings made by FINRA and discuss current rulemaking initiatives. The panel will also touch upon Regulation Best Interest as it relates to FINRA’s Suitability Rule. This information will highlight material regulatory matters to help compliance professionals stay abreast of timely issues and improve their compliance programs.

Learning Objectives:

  • Understand FINRA’s new process on risk monitoring to identify emerging regulatory issues
  • Review FINRA’s 2020 examination priorities and understand FINRA’s current rulemaking initiatives
  • Discuss FINRA’s Transformation and how it is impacting firms from surveillance and examinations to membership continuance
  • Examine the impact of the Reg BI on the Suitability Rule


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 2:00 pm - 3:15 pm Robert Colby William St. Louis Michael Wolk

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(860) 672-0843 info@nscp.org