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.
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
Overview
Understanding FINRA's Role
- Licensing and Registration
- Examinations and Investigation
- Enforcement
Examinations and Investigations
- Cycle Examinations
- Sweep Examinations
- Special Examinations
Testimony and Documents
Wells Notice
Enforcement Process
- Hearings
- Settlements
- Appeals
FINRA Priorities
Recent Enforcement Cases
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More Program Information
Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on September 29, 2016.
Call 1-866-352-9540 for further credit information.
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
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
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More Program Information
Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
All of your training, right here at Lorman.
Pay once and get a full year of unlimited training in any format, any time!
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- White Papers and Articles
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- State Specific Credit Tracker
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