FINRA’s Examination Priorities and Enforcement Initiatives: Analysis and Predictions

22 February 2017 Webinar Past Event

Location

Webinar

Contact Information

Kayla Huven
khuven@foley.com

Agenda

11:00 a.m. - 12:00 p.m. Central
The Financial Industry Regulatory Authority (FINRA) recently issued its annual Regulatory and Examination Priorities Letter, which addresses several broad policy issues they believe should be key points of emphasis for member firms in 2017. What are these points and how will they affect your business?

Please join Foley attorneys Dean Jeske, Allison Charney, and Joe Edmondson for an in-depth webinar that takes a closer look at the following topics:

  • Examining FINRA’s 2017 Exam Priorities Letter: What’s new? What are the biggest risks?
  • Learning the hidden nuances that could prove invaluable to your exam preparation
  • Discovering what the key enforcement trends in 2017 are, and what can you take away for the coming year

There is no cost to participate in this program, but pre-registration is required. To participate, please use the Register button, or simply register here. Instructions for accessing the program will be included in the registration confirmation email.

If you have questions or would like more information, please contact Kayla Huven at khuven@foley.com.

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FINRA’s Examination Priorities and Enforcement Initiatives: Analysis and Predictions

Location

Webinar

Contact Information

Kayla Huven
khuven@foley.com

Agenda

11:00 a.m. - 12:00 p.m. Central