Overview

Watch via SIFMA On Demand

With the coronavirus pandemic (COVID-19) front and center across the world today, these are unprecedented times for the industry.

On May 19th, the SIFMA C&L Society hosted a virtual discussion with senior FINRA officials about enforcement, examination and rulemaking priorities during and post pandemic, the impact of the COVID pandemic on FINRA’s operations, and much more. Topics included CAT implementation updates and the implementation and enforcement of Regulation BI. The webinar replay is available; watch now.

 

Featured Speakers

 

 

SIFMA Webinar Series

Ask FINRA: A Panel of Senior FINRA Officials Respond to Your Questions

Date

May 19, 2020

Location

Virtual

Hosted by

SIFMA C&L Society

Registration Rates – Until 5/19/20

  • Members Complimentary
  • Non-Members Complimentary

Overview

Watch via SIFMA On Demand

With the coronavirus pandemic (COVID-19) front and center across the world today, these are unprecedented times for the industry.

On May 19th, the SIFMA C&L Society hosted a virtual discussion with senior FINRA officials about enforcement, examination and rulemaking priorities during and post pandemic, the impact of the COVID pandemic on FINRA’s operations, and much more. Topics included CAT implementation updates and the implementation and enforcement of Regulation BI. The webinar replay is available; watch now.

 

Featured Speakers

 

 

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Accreditation

CLE CreditSIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York.

Webinar attendees will be eligible for 1.5 CLE Credit hours. When registering for the webinar, please select the box for CLE Credit. All attendees who registered to receive CLE Credit will be sent an affirmation form from [email protected]. Attendance must be certified by each registrant seeking credits by completing the affirmation form immediately following the webinar using our CLE code word and emailing the form back to [email protected].  The moderator of the webinar will announce the CLE code word periodically throughout the webinar. CLE Credit cannot be certified after the webinar adjourns. Participants will receive CLE Certificates for New York State within 30 days of the webinar. Participants should self-file for CLE credit in other states.

 

Webinar Tips and FAQs

For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

 

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Webinar registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.