FINRA Regulatory Highlights

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About This Course

This panel will share in-depth information on issues ranging from FINRA’s senior initiative and the Securities Helpline for Senior, JOBS Act (Jumpstart Our Business Startups Act) developments including private placements, changes in fixed income regulation and the use of auto-advice by financial services firm.

After attending this session, you will be able to:

  • Discuss the potential impact and status of the Department of Labor’s Fiduciary Rule and related Prohibited Transaction Exemptions.
  • Review recent developments concerning FinTech, including FINRA’s Innovation Outreach Initiative.
  • Understand FINRA’s retrospective review of its rules governing outside business activities and private securities transactions.

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