SIFMA C&L Virtual Forum
For more than half a century, SIFMA’s Compliance & Legal Annual Seminar has been the preeminent meeting place for compliance…
Gaining Insight into FINRA Member Supervision Priorities
Overview
On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and operational examination priorities.
Watch On Demand
This webinar is available to view on demand through June 22, 2021.
If you registered for this webinar before 9:30 a.m. ET April 22, 2021, click here to watch now.
New registrant? Please register below; you will receive access instructions within three business days.
Watch this webinar on demand to learn about:
- the changes to, and effectiveness of, FINRA’s model for Examinations and Risk Monitoring;
- remote examinations in the world of COVID-19; and
- 2021 financial management examination priorities, including: Net Capital, Liquidity Management, Credit Risk Management, and Segregation of Assets and Customer Protection.
Featured Speakers
SIFMA Webinar Series
Gaining Insight into FINRA Member Supervision Priorities
Registration Closed
Overview
On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and operational examination priorities.
Watch On Demand
This webinar is available to view on demand through June 22, 2021.
If you registered for this webinar before 9:30 a.m. ET April 22, 2021, click here to watch now.
New registrant? Please register below; you will receive access instructions within three business days.
Watch this webinar on demand to learn about:
- the changes to, and effectiveness of, FINRA’s model for Examinations and Risk Monitoring;
- remote examinations in the world of COVID-19; and
- 2021 financial management examination priorities, including: Net Capital, Liquidity Management, Credit Risk Management, and Segregation of Assets and Customer Protection.
Featured Speakers
Register
| Registration Rates | Complimentary |
|---|
| Registration Rates | Complimentary |
|---|
| Registration Rates | $99 |
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| Member | Regulator | Non-Member | |
|---|---|---|---|
| Registration Rates | Complimentary | Complimentary | $99 |
Venue
On Demand
On Demand , Watch Replay
Sponsorship
Interested in sponsoring a SIFMA Webinar? Contact Diana Serri at 212.313.1258.
Our Sponsor
SIFMA's Strategic Partners
Media
Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134
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Cancellations and Substitutions
Cancellation within 48 hours of the webinar will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.