Oyster Stew - A Broth of Financial Services Commentary and Insights

FINRA 2021 Exam Priorities - Innovations & Regulations

March 02, 2021 Buddy Doyle, Evan Rosser, Ed Wegener, Jeffrey Hiller
Oyster Stew - A Broth of Financial Services Commentary and Insights
FINRA 2021 Exam Priorities - Innovations & Regulations
Chapters
Oyster Stew - A Broth of Financial Services Commentary and Insights
FINRA 2021 Exam Priorities - Innovations & Regulations
Mar 02, 2021
Buddy Doyle, Evan Rosser, Ed Wegener, Jeffrey Hiller

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  However, this year's new format and FINRA's higher expectations are worth checking into so you have a successful exam.  Join Oyster CEO Buddy Doyle and consultants Ed Wegener,  Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how the new format can help you ensure your compliance program will meet regulator expectations.

This podcast is the first of several we will be producing to help you utilize and understand this year's priorities.

Don't miss Jeffrey Hiller's podcast series "CCO Behind the Scenes." There are more things to being CCO than you can learn in a book.    

Show Notes

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  However, this year's new format and FINRA's higher expectations are worth checking into so you have a successful exam.  Join Oyster CEO Buddy Doyle and consultants Ed Wegener,  Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how the new format can help you ensure your compliance program will meet regulator expectations.

This podcast is the first of several we will be producing to help you utilize and understand this year's priorities.

Don't miss Jeffrey Hiller's podcast series "CCO Behind the Scenes." There are more things to being CCO than you can learn in a book.