FINRA Webinar: How to Respond to FINRA Requests for Comment

FINRA recently released a number of Regulatory Notices that support the effort to modernize rules for member firms and associate persons. This webinar is designed to review the comment process, assist firms with how to comment and provide what type of information is helpful to receive in comments. FINRA staff share examples of the impact of comment letters and how they are used. 

This event is open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.