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Tennessee CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a TN distance learning CLE provider. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules.

This session will cover a range of vital topics, including:

  • Modernizing FINRA Rules in a Post-COVID World: Explore initiatives like the Remote Supervision and Inspection (RSL) and the Remote Inspection Pilot programs.
  • Current Regulatory Landscape and FINRA Rulemaking: Gain insights into recent and anticipated regulatory changes.
  • Risk Monitoring Questionnaires and Exam Modernization: Understand the advancements in risk monitoring and the evolving approach to examinations.
  • Consolidated Audit Trail (CAT) and Customer and Account Information System (CAIS): Learn about the latest developments in data reporting and compliance.
  • Market Regulation Transaction Surveillance (MRTS) 2.0 and Report Cards: Review enhancements in market surveillance and firm performance evaluations.
  • Enforcement Priorities and Trends: Stay ahead with updates on enforcement actions and emerging trends.
  • This session is essential for staying informed about the dynamic regulatory environment and ensuring your firm’s compliance and strategic readiness.
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