transcript   Transcript

The FINRA Framework

Recorded on: Jul. 23, 2018
Running Time: 01:00:43

Full Transcript:

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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2018 Recorded July 2018 in New York

The FINRA Framework [01:00:43]
  • Supervision rules
  • Exams
  • Suitability
  • Special products

Meredith Cordisco, Clifford E. Kirsch, Cece Baute Mavico

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Overview of the FINRA Rulebook Framework (May 26, 2018)
    Clifford E. Kirsch
Presentation Material
  • Overview of the FINRA Rulebook Framework
    Meredith Cordisco, Clifford E. Kirsch, Cece Baute Mavico
  • (s)
    Meredith Cordisco ~ Associate General Counsel, Office of General Counsel, Financial Industry Regulatory Authority (FINRA)
    Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
    Cece Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
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