Market Regulation Priorities: Detecting and Preventing Misconduct

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Virginia MCLE
Accreditation Info

Courses purchased through the United Institute for Continuing Legal Education are provided and fully accredited by The National Academy of Continuing Legal Education, an approved Virginia State Bar MCLE Accredited Sponsor. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This timely CLE course provides much needed updates on market regulation priorities as well as current initiatives and rule-making. The course will help you to understand market regulations initiatives and priorities, FINRA’s market regulation examination priorities and disciplinary action regarding equities, fixed income and options markets.
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