Current Issues in Securities Regulation: Part 2

Accreditation Wreath Icon AL
SKU: FIN6900
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

A thorough examination of FINRA and the related issues of regulation, eligibility requirements, risk, compliance and enforcement, this CLE course will explain the new Enforcement department and how functions across FINRA will be explained. The course will explain the structure of the new department, its priorities and how its outcomes are guided as well as preparing for inspections, minimizing risk, monitoring suspicious activity and identifying AML procedures will all be presented. Included as well will be a discussion of outside business activities and regulation of private security transactions as well as FINRA’s proposed rules for these entities will be explained in this comprehensive course.
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