Tennessee CLE - All Courses
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Regulation Best Interest and Form CRS: Recent Observations and What to Expect
Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info
$501General Credit -
Fraud Detection and Prevention
Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info
$501General Credit -
Gamification, Social Media, and Digital Communications Perspectives
Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond. More Info
$501General Credit -
Market Regulation Priorities
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 eq... More Info
$501General Credit