2024 Fixed Income Examination and Investigation Priorities Webinar
FINRA Member Supervision and Market Regulation and Transparency Services provide insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities. This free, 75-minute session assists firms in understanding what to expect in 2024, topics that firms should consider to bolster their compliance practices and get answers to firm’s most pressing questions related to fixed income securities and municipal advisory activities.
Fixed Income Examination and Investigation Priorities Webinar – On-Demand Recording | FINRA Member Firms
CRCP Graduate |
This event is open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's broker-dealer number when registering. A recording will be made available after the event.
Questions
For questions regarding the webinar, contact Member Relations and Education. For questions regarding registration, please email [email protected].