Market Regulation Priorities: Detecting and Preventing Misconduct

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About This Course

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs.

After attending this session, you will be able to:

  • Understand Market Regulations’ initiatives, priorities and significant matters.
  • Discuss major developments in equities, fixed income and options markets surveillance.
  • Describe FINRA Market Regulation examination priorities.
  • Summarize a sample of significant disciplinary actions regarding equities, fixed income and options markets.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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