Market Regulation Priorities

SKU: SEC004

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About This Course

Attend this session to hear about market regulation priorities, including current initiatives and rulemaking.

This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thoughts on equities, options, and fixed income compliance programs.

After attending this session, you will be able to:

  • Understand FINRA 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

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