FINRA recently published its “Report of FINRA”s Examination and Risk Monitoring Program,” covering topics such as Regulation Best Interest, cybersecurity, private placements, advertising and consumer protection. Our panel will talk about this recent report, including “hot topics” for the alternative investment industry, such as Regulation Best Interest, private placement and advertising changes (including the recent proposal to require the filing of private placement sales materials), as well as other FINRA initiatives such as the protection of senior investors. We’ll also discuss IPA initiatives including modernizing Rule 2310, addressing the treatment of failed offerings and including Regulation D disqualification in BrokerCheck.
Date: 07/01/2021
DIRECTORY SPOTLIGHT
Time: 2:00 PM EST
Location: Online
Click here for more information or to register for the event.
