Peter Tepley participated in this Knowledge Group CLE Webinar on Thursday, May 13 from 3:00-4:00 p.m. (ET).

In December 2020, the Financial Industry Regulatory Authority (FINRA) Board of Governors approved filing to the Securities and Exchange Commission (SEC) its proposed changes to the continuing education (CE) program under FINRA Rules 1210 and 1240. The changes, which aim to provide FINRA-registered practitioners a timely regulatory developments training, will require them to complete their CE program yearly.

The regulatory landscape remains uncertain as the proposed amendments still need approval from the SEC. FINRA-registered practitioners must, therefore, keep themselves abreast of any emerging development in the area and must review their CE requirements to ensure that they comply with FINRA Rules.

The speakers provided an in-depth analysis of the proposed changes to FINRA Rules 1210 and 1240. Speakers also shared red flags as well as practical ways to ensure compliance with their CE requirements.

Key topics in this webinar included:

• FINRA Rules 1210 and 1240: Key Takeaways
• Proposed CE Amendments: Implications
• Continuing Education Requirements
• Tips for Maintaining FINRA Registration
• Best Compliance Practices

Listen to a recorded version (fees may apply).