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Reg BI - FINRA's Higher Expectations in 2021
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - March 09, 2021 13:00 - 9 minutes - 6.54 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: FINRA 2021 Exam Priorities - Innovations & Regulations
Next Episode: Reg BI - FINRA Expects More
You’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.
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