sec regulations

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 you are meeting your FINRA and SEC regulatory obligations, you must understand what is classified as a violation of those rules. Only then can you begin practices in  that mitigate the risk and position you as an active advocate for compliance, instead of a violator or passive enabler for non-compliant activity.

Check out 4 Considerations for Meeting FINRA & SEC Regulations, a brief overview to help you understand what regulators are looking for, and 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

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