Market Regulation and Transparency Services Priorities: What You Need to Know

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Georgia CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a provider of CLE courses in Georgia approved by the Georgia Commission on Continuing Lawyer Competency, sponsor #3730. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs.

During this session, our esteemed panelists will discuss the following key topics:

  • Updates on market regulation and transparency priorities, encompassing ongoing initiatives and rulemaking efforts.
  • In-depth thoughts and perspectives from FINRA panelists on equities, options, and fixed income compliance programs.
  • Detailed information on important subjects such as manipulative trading, Reg Notice 22-27 (TRACE), fixed income fair pricing, and best execution.

Don't miss out on this opportunity to stay informed and gain valuable knowledge about the evolving landscape of market regulation and compliance.

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