Market Regulation Priorities

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Wyoming CLE
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United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

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All Courses Available iOS/Android Web

About This Course

Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed income compliance programs.

The course will also review FINRA’s Market Regulation Examination priorities and summarize recent disciplinary actions as they relate to fixed income, equities and options markets.

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