Examination Priorities for 2014: From Regulators at the CFTC, FINRA, NFA, and SEC

Available: In Stock
Product No: 15339
Duration: 2.00 Hours
Publish Date : 2/27/2014

Item Description :


Purchase this CLE materials set for an exclusive opportunity to learn about the 2014 examination priorities from the SEC, CFTC, FINRA, and the NFA!  Learn about the issues compliance professionals should be educated about straight from the regulators.

Program Topics:

I. SEC Examination Program Updates and Priorities
II. FINRA Examination Program and Priorities
III. CFTC Examination Program and Priorities
IV. NFA Examination Program and Priorities


Todd Coppi
Financial Industry Regulatory Authority

Michael Garrity
U.S. Securities & Exchange Commission

Paul Hayeck
U.S. Commodity Futures Trading Commission

Jennifer Sunu
National Futures Association

Pricing :
CLE Book & Audio CD: Member $165.00
CLE Book & Audio CD: Non-Member $195.00