4 Considerations to Meet FINRA and SEC Regulations

Meeting FINRA and SEC regulations can be difficult. You must understand the current regulatory requirements and establish the tools and strategies that keep you compliant across your organization. This guide will help you develop a compliance strategy so that you are prepared when the regulators come calling.

To ensure that your firm is meeting FINRA and SEC regulatory obligations, you must first understand what is classified as a violation of those rules. Afterwards, your firm must implement practices that mitigate risk and position you as an active advocate for compliance, instead of a violator or passive enabler for non-compliant activity.

Download 4 Considerations for Meeting FINRA & SEC Regulations to help you understand what the regulators are looking for during their audits, and the measures you can take to achieve compliance, including:

  • Internal supervision procedures to put in place
  • Important questions to ask when creating your compliance strategy
  • How to make the most of your compliance technology