REGISTER: Educational Seminar- Incorporating SEC & FINRA Exam Priorities Into Your Compliance Progra

When:  Apr 21, 2021 from 1:00 PM to 3:00 PM (ET)

Incorporating SEC & FINRA Exam Priorities Into Your Compliance Program

Rescheduled: April 21, 2021

This session will focus on FINRA’s and the SEC’s 2021 examination priorities as they relate to: promoting compliance, preventing fraud, identifying and monitoring risk, and informing policy. Best practices in high-risk areas will be covered for firms of all sizes.  Attendees will leave with best practices they can use and apply to their firm.

Learning Objectives:

  • Compare new and emerging priorities with on-going priorities
  • Analyze the regulatory exam priorities for your firm’s potential risks
  • Determine which topics may require new/updated policies and procedures, supervision and testing
  • Manage the regulatory expectations for the new priorities and consider the SEC’s Exam Observation Alerts
  • Use these regulatory exam priorities as a roadmap to help promote compliance

*Members: $100

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Online Instructions: