Webinar Description

FINRA and the SEC have released their 2024 Exam Priorities, which spell out the main topics they'll be focusing on during the upcoming exams. Our panelists will break down these areas and share practical tips on how CCOs at broker-dealer and investment advisory firms can best prepare.

Quest CE's Alex Krenke will be joined by Jessica Murray, American Elm Chief Compliance Officer, and Kim Chapman, Berthel Fisher Chief Compliance Officer to discuss the exam priorities and divulge their biggest, practical takeaways. 

Topics that will be covered during the webinar include: 

General Takeaways 

• Compliance Risks for IAs & BD’s
• Strategic Priorities 
• Core Exam Components 

Join the discussion April 4th, 2024 at 12PM CT.