Market Regulation and Transparency Services Priorities: What You Need to Know


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About This Course

During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs.

This session will discuss:

  • Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking
  • FINRA panelists share thoughts on equities, options and fixed income compliance programs
  • Include information on:
  • Manipulative Trading
  • Reg Notice 22-27 (TRACE)
  • Fixed Income Fair Pricing
  • Best Ex

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