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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 Resources: Compliance Podcasts
November 1, 2011
FINRA podcasts are online audio recordings that highlight news, regulatory updates and other compliance topics. FINRA created podcasts as a convenient way to get compliance-related information into the hands of compliance professionals. Podcasts cover compliance topics, updates and speeches.
Here are recent podcasts as of 10/31/11:
10/24/11: Operations Professional Registration Category – Part 2. 10/17/11: Operations Professional Registration Category – Part 1 10/10/11: Quarterly Disciplinary Review 10/3/11: September 2011 Monthly Recap 9/26/11: Social Media and Personal Electronic Devices – Part 3.
Firms can also subscribe to Compliance Podcasts. For further podcast details, go to: [FINRA On-Line Learning, Compliance Podcasts, as of 10/24/11]Related Stories: Archive
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