Preparing for FINRA and the SEC's 2023 Exam Priorities

Register for May 4th, 2023 @ 12PM CT

Webinar Description

FINRA and the SEC have released their 2023 Examination Priorities for the year, listing the issues and topics that will be primarily focused on during the upcoming exam season. Our panelists will dive into these topics and explain how broker-dealers and investment advisers should prepare for their exams. 

Topics that will be discussed include:

  • Cybersecurity Trends on the Rise

  • Personal Devices and Messaging Apps Standard Practices

  • Managing Conflicts of Interest

  • Navigating Compliance with the Marketing Rule

  • Fixed Income Disciplinary Actions

  • Mitigating Private Fund Risks

Quest CE Sales Manager Alexander Drzewiecki will be joined by industry professionals Gretchen Lee and Jennifer Selliers to discuss the exam priorities and divulge their biggest, practical takeaways.

Join the discussion on May 4th, 2023 at 12PM CT.

[Register Today]

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