Slide Deck

34 Slides available anytime
  • 34 Slides

Reducing Your Liability in Compliance With FINRA

 
Don’t get slammed by FINRA: Do right by your customers.This topic will enable you to gain insight into the various aspects of FINRA investigations, examinations, hearing and settlement process. Today’s regulatory landscape is expanding with FINRA taking a lead in enforcing today’s markets. The topic will provide a step by step approach to how FINRA examines and investigates its members and their associated persons. The topic will provide practical insight into navigating large document and testimony requests, assessing whether to litigate or settle with FINRA, and an understanding of the FINRA hearing process. You will also learn of FINRA’s priorities and recent case developments.

Faculty

Paul M. Tyrrell

Paul M. Tyrrell

Sidley Austin LLP

Agenda

Faculty

Paul M. Tyrrell

Paul M. Tyrrell

Sidley Austin LLP

  • Practice has spanned a career advising clients on anti-money laundering compliance with the Bank Secrecy Act/USA PATRIOT Act, and their implementing regulations
  • Practice includes handling significant regulatory enforcement actions related to noncompliance with FinCEN, SEC, FINRA, and NFA rules related to anti-money laundering programming

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

  • Live Webinars
  • OnDemand Webinars
  • MP3 Downloads
  • Course Manuals
  • Audio Recordings*
  • Executive Reports
  • White Papers and Articles
  • Sponsored Live Webinars

Additional benefits include:

  • State Specific Credit Tracker
  • Members Only Newsletter
  • All-Access Pass Course Concierge

* For audio recordings you only pay shipping

Questions? Call 877-296-2169 to speak with a real person.

Sign Up Today

Access to all training products $699/year

Unlimited Lorman Training

With the All-Access Pass there is no guessing what you will need for your yearly training budget. $699 will cover all of your training needs for an entire year!

Easy Registrations

Once you purchase your All-Access Pass you will never be any further than one-click away from attending any Lorman training course.

Invest in Yourself

You haven't gotten to where you are professionally by luck alone; it's taken a lot of hard work and training. Invest in yourself with the All-Access Pass.