5b. BD – FINRA Regulatory Overview (Intermediate)
Interact with FINRA regulatory staff, who will review current and emerging regulatory and exam priorities as well as risk monitoring focus areas for broker-dealers. Panelists will also highlight current rulemaking initiatives, recent interpretive guidance, and regulatory notices. This session is designed to help compliance professionals stay abreast of timely regulatory issues and improve their compliance programs. This session is open to regulators but closed to members of the press.
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