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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA Exam Program Webinar
[ by Howard Haykin ]
FINRA will hold a free webinar focusing on the FINRA examination program, how it's changing and how firms can best prepare for their exam. This 90-minute webinar, to be held midday on 10/9/12 - 1-2:30 pm ET, will feature FINRA staff and industry experts.
The panelists will discuss the new risk-based examination process, including the risk factors involved and FINRA’s use of the Risk Control Assessment survey results. They'll also cover exam findings, leading industry practices, and ways firms can assist the examination process - with particular attention to outside business activities, WSPs and suitability. Participants may submit questions during the live program.
How to Register. Online registration is available through 10/8/12; a confirmation email will be sent after your registration has been processed.
For registration or technical questions call (212) 858-4119. For all other questions or inquiries email Member Relations. The Webinar is not open to media folk - like, yours truly.
For further details, go to: [FINRA Online Training, September 2012].
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