Market Regulation Priorities

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

Course Media Options

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

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

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