SII Graduate Program
About the 2021 SII Graduate Program The 2021 SII Graduate Program is an enhanced virtual program. The program will provide…
Webinar: Virtual Fireside Chat with FINRA’s Bill Wollman
Overview
Due to the coronavirus pandemic (COVID-19), FINRA has advised member firms that it is providing temporary relief from certain rules and requirements in the form of Frequently Asked Questions.
On May 7, 2020, Grace Vogel, PwC Managing Director, facilitated a virtual discussion with Bill Wollman, FINRA Executive Vice President, Head of Office of Financial and Operational Risk Policy, about incoming questions from member firms, the challenges during these unprecedented times and regulatory updates under the circumstances.
Replay Now Available: Watch the Webinar On-demand
Topics include:
- Audit and FOCUS extensions
- Mail processing at residence
- Registrations and qualification
- Branch office inspections
- Net capital
- CARES Act covered loans
- Supervision
- Modifications to FINRA programs
- And more
Featured Speakers
SIFMA Webinar Series
Webinar: Virtual Fireside Chat with FINRA’s Bill Wollman
Registration Closed
Overview
Due to the coronavirus pandemic (COVID-19), FINRA has advised member firms that it is providing temporary relief from certain rules and requirements in the form of Frequently Asked Questions.
On May 7, 2020, Grace Vogel, PwC Managing Director, facilitated a virtual discussion with Bill Wollman, FINRA Executive Vice President, Head of Office of Financial and Operational Risk Policy, about incoming questions from member firms, the challenges during these unprecedented times and regulatory updates under the circumstances.
Replay Now Available: Watch the Webinar On-demand
Topics include:
- Audit and FOCUS extensions
- Mail processing at residence
- Registrations and qualification
- Branch office inspections
- Net capital
- CARES Act covered loans
- Supervision
- Modifications to FINRA programs
- And more
Featured Speakers
Register
| Registration Rates | Complimentary |
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| Registration Rates | Complimentary |
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| Members | Non-Members | |
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| Registration Rates | Complimentary | Complimentary |
Sponsorship
Interested in sponsoring a SIFMA Webinar? Contact Diana Serri at 212.313.1258.
SIFMA's Strategic Partners
Media
Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134
Policy
View SIFMA’s official webinar press policy.
Accreditation
Live webinar attendees are eligible for up to 1.5 CPE Credits.
Attendees will learn about the changes to some of FINRA’s rules and requirements as a result of the COVID-19 situation.
Field of Study: Finance
Program Level: Intermediate
Delivery Method: Group Internet
Advance Preparation: None
CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
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