Ask FINRA Senior Leaders

SKU: SEC078

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About This Course

During this CLE session, FINRA senior staff provide updates on key regulatory issues and initiatives. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.

This session will discuss: Modernization of FINRA Rules in a post-COVID world (RSL, Remote Inspection Pilot), the current regulatory landscape and FINRA Rulemaking, Risk Monitoring Questionnaires, Exam Modernization, CAT/CAIS, MRTS 2.0, Report Cards, and Enforcement Priorities/trends.

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