– Register Below –
FINRA and the SEC have released their 2024 Exam Priorities, which spell out the main topics they’ll be focusing on during the upcoming exam season. Our panelists will break down these areas and share practical tips on how broker-dealers and investment advisers can get ready for their exams.
Quest CE’s Chief Executive Officer 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. Join the discussion on April 4th, 2024, at 12 PM.
Topics that will be covered during the webinar include:
General Takeaways
- Process for Breaking Down Reports
- Core Exam Priorities
Top SEC Exam Priorities
- Off-Channel Communications
- Marketing Rule Deficiencies
- Private Markets (Crypto/Private Offerings)
- The Future of AI Compliance
Top FINRA Exam Priorities
- Lessons from Reg BI/Form CRS
- Practical Cybersecurity Guidance
- Monitoring OBAS/PSTs
The seat limit for this session is 500 participants and it anticipated to run for an estimated 45-60 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.
###
About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
