Market Regulation: Examination Pilot Program and Surveillance Early Remediation Programs

MCLE Courses Available Online & iOS/Android App and with Live Webinars!

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About This Course

This CLE session provides updates on the small firm examination pilot and early remediation programs. Join FINRA staff and industry panelists as they share thoughts on the process and approach of these programs.

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Online, iOS/Android App, Live Webinars

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