How FINRA Rules Get Made, Reviewed and Updated

SKU: FIN8300

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and with Live Webinars!

Course Media Options

About This Course

Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and understand new regulatory rules. Establish procedures and effective practices for your firms surrounding the new regulatory rules. Establish supervision and oversight to manage the risks associated with the new regulatory rules. Identify opportunities to engage in the processes. Understand the role of the FINRA Board of Governors and advisory committees in the rulemaking process. Describe the status of ongoing retrospective rule reviews and potential future reviews.

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options