Securities Regulator Open Session – SEC and FINRA
Carla Romano
VP and Chief Compliance Officer
FINRA
Chicago, Illinois
Matthew M. O’Toole, Esq.
Assistant Regional Director--IA/IC Examinations
SECURITIES AND EXCHANGE COMMISSION
San Francisco, California
Please join Carla and John for an update on current regulatory issues including:
a status report on the consolidated rulebook and sales practice issues.
FINRA/SEC examination program including examination priorities and findings.
Click Here for
speaker biography - Carla Romano
Click Here for
speaker biography - Matthew M. O’Toole, Esq.
PowerPoint presentation not available
Click Here for other session material
