2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators

  • 29 Sep 2016
  • Webinar

Description

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

Past Events

Important

Please, check "Financial Regulator Priorities - SEC, FINRA, and State Regulators" official website for possible changes, before making any traveling arrangements

Event Categories

Business: Finance, Risk Management
Services: Banking, Insurance

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