How FINRA Rules Get Made, Reviewed and Updated

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SKU: FIN8300
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportunities to engage in the current process through an understanding of how it functions as well as the role of the FINRA Board of Governors and Advisory Committees. A status update on ongoing retrospective rules as well as potential future reviews will also be presented.

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