Oyster Stew - A Broth of Financial Services Commentary and Insights

Reg BI - FINRA Expects More

March 10, 2021 Buddy Doyle, Evan Rosser, Jeffrey Hiller, Ed Wegener
Oyster Stew - A Broth of Financial Services Commentary and Insights
Reg BI - FINRA Expects More
Chapters
Oyster Stew - A Broth of Financial Services Commentary and Insights
Reg BI - FINRA Expects More
Mar 10, 2021
Buddy Doyle, Evan Rosser, Jeffrey Hiller, Ed Wegener

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  This year, FINRA's higher expectations of Reg BI compliance are worth checking into, so you have a successful compliance program and exam.  Join Oyster CEO Buddy Doyle and consultants Ed WegenerEvan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how making the most of the new 2021 Exam Priorities information on Reg BI can ensure your compliance program will meet regulator expectations.

If you haven't already, check out our Regulators - Behind the Scenes podcast mini-series to learn more about how Regulators think. 

Show Notes

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  This year, FINRA's higher expectations of Reg BI compliance are worth checking into, so you have a successful compliance program and exam.  Join Oyster CEO Buddy Doyle and consultants Ed WegenerEvan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how making the most of the new 2021 Exam Priorities information on Reg BI can ensure your compliance program will meet regulator expectations.

If you haven't already, check out our Regulators - Behind the Scenes podcast mini-series to learn more about how Regulators think.