Cannon Financial Institute

Getting in Line: FINRA & SEC Examination & Regulatory Priorities

Get ready for your next visit. Review the FINRA and SEC issues that may impact your audit, compliance and risk management processes.  Take a look into Cannon’s expert thoughts on FINRA’s regulatory and examination priorities for broker-dealers and the SEC’s Office of Compliance Inspections and Examination’s examination priorities for RIA’s.  

Learn More and Register

This course qualifies for the following CE credits:
AFIM® CE: 2.5 HRS
CTFA™ CE: 2.0 HRS
CFP® CE: 2.0 HRS
CWS® CE: 2.5 HRS
FIRMA® CE: 2.5 HRS

Want to Talk? Let’s Chat.

Press Launch Live Chat to chat online or give us a call at 706.353.3346.

Launch live chat