Common Examination Findings and Effective Compliance Practices

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South Dakota CLE
Accreditation Info

CLE is voluntary for South Dakota attorneys. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

FINRA cycle examinations can be nerve-wracking. Be prepared with this comprehensive CLE course on the most deficiencies noted during examinations and best practices for taking corrective action and updating compliance procedures. The course will discuss the most common findings in regulatory areas, identify controls and processes to address deficiencies and evaluate regulatory areas that require attention.
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