Don’t miss our NSCP Regulatory Interchange Webinar, featuring FINRA:

During the interchange, you will learn about changes to FINRA’s examination and risk monitoring structure and hear how FINRA is approaching their firms based on their different business models including what that means for you. You will also come away with an understanding FINRA’s priorities both from a general point of view and the impact those priorities have on different business models. The panelists will discuss FINRA’s operations during the pandemic and how the pandemic is effecting their approach going forward. Finally, you will have the ability to ask questions and provide feedback on FINRA’s exam and risk monitoring programs.

*This event is closed to members of the press.
*This event is open to regulators free of charge. Contact NSCP directly to register.
Only CSCP certificates of attendance can be provided to eligible attendees.  Other CE credits are not eligible for Regulatory Interchange events.

Fees & Registration

Registration Type Price
Members Free
Non-Members $100
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