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.