2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators is a webinar that covers topics such as:
- FINRA Priorities
- US Securities and Exchange Commission Priorities
- Implementing the Priorities
- Discussion on State Regulator Priorities
- Background on the Priorities
- Effectively Communicating the Priorities
2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators is intended for attendees from:
- Investment Management
- Financial Advisory
- Financial Audit
- Financial Compliance
- Financial Risk Management