Market Regulation Series: SEC and FINRA Examination Priorities for 2013

03 April 2013 Web Conference Past Event

Location

Web Conference

Contact Information

Katie Egan
kmegan@foley.com

Agenda

12:00 p.m. Central

Program Duration
60 Minutes
FINRA and the SEC’s Office of Compliance Inspections and Examinations (OCIE) have recently released their examination priorities for 2013. The next program in our Market Regulation Series focuses on these examination priorities.

Foley Partner Richard Wallace, who formerly served as FINRA Vice President and Chief Counsel as well as SEC Branch Chief, will discuss the regulators’ stated examination priorities and the enforcement actions taken in the last year. A comparison of the stated priorities with the completed disciplinary actions provides a deeper insight into risks faced by broker-dealers.

Topics covered will include:

  • New priorities for 2013 and how to prepare for examinations in these areas
  • The most commonly cited violations in disciplinary actions
  • The expanding role of compliance in supervising the development of technology
  • Actions against supervisory and compliance personnel
  • Reviewing existing supervisory procedures with an eye to pending examinations
  • Practical guidance in responding to inquiries and examinations

This is a complimentary Web conference; however, pre-registration is required. For additional information, please contact Katie Egan at kmegan@foley.com or 312.832.4510.

Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of one General credit. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must log in to both the teleconference and Adobe Connect portions on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event.

Related Services

Market Regulation Series: SEC and FINRA Examination Priorities for 2013

Location

Web Conference

Contact Information

Katie Egan
kmegan@foley.com

Agenda

12:00 p.m. Central

Program Duration
60 Minutes