2024 Fixed Income Examination and Investigation Priorities Webinar

FINRA Member Supervision and Market Regulation and Transparency Services provide insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities. This free, 75-minute session assists firms in understanding what to expect in 2024, topics that firms should consider to bolster their compliance practices and get answers to firm’s most pressing questions related to fixed income securities and municipal advisory activities.

The on-demand recording will be available soon.

This event is open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's broker-dealer number when registering. A recording will be made available after the event.

Questions

For questions regarding the webinar, contact Member Relations and Education. For questions regarding registration, please email [email protected].

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FINRA members should complete the form below and click "Submit" to proceed.

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