Episode 3: Exam Priorities Plus

inSecurities

English - January 30, 2020 07:00 - 44 minutes - 41.5 MB
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Previous Episode: Episode 02: Looking Ahead to 2020

Next Episode: A Deep Dive into Insider Trading

The SEC’s OCIE and FINRA recently released their 2020 exam priorities. Today on the show, we’ll explore what the priorities tell us.

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.