Please join us for our latest complimentary webinar:
FINRA Examination Priorities – 2019
As befits the new year, we will host a webinar incorporating highlights of what we see as FINRA’s examination priorities for 2019. The discussion will reflect what we have heard from FINRA and what we have seen from actual examinations across our network of 200 FINRA registered broker-dealers.
While the priorities tend not to change drastically from year to year, we will offer insight into old and new trends as FINRA continues its mission of protecting investors and the integrity of the capital markets.
We hope the information from our Consultants help you accomplish your compliance goals and prepare you for a stress-free examination.