Ask FINRA Senior Staff

Accreditation Wreath Icon AL
SKU: SEC064
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and forthcoming rules. Attendees can expect to gain valuable insights into these areas and obtain a comprehensive understanding of the current regulatory landscape.

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