Getting in Line: FINRA & SEC Examination & Regulatory Priorities
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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.
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