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