Compliance
Events
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From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation
This panel brings together regulators and FINRA member firms to explore how regulatory tools and firm-level action can work together to protect senior investors. Regulators share what they are seeing including common red flags, examination findings and expectations around documentation, escalation and reporting. FINRA member firms provide real-world success stories demonstrating how the Trusted Contact Person Rule and FINRA Rule 2165 have prevented harms, stopped scams and ultimately strengthened client relationships.
FINRA Category: Conferences and Events
Add to Calendar: https://www.finra.org/calendar/ical/381116/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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FINRA Crypto Applied Learning Program at Georgetown University
FINRA's Crypto and Blockchain Education Program equips financial professionals with comprehensive, practical knowledge to understand and navigate crypto assets and blockchain technology. The in-person applied learning course, delivered in partnership with Georgetown University's McDonough School of Business, provides an immersive, hands-on experience that transforms foundational learning into actionable knowledge.
The multiday in-person course combines expert instruction, interactive discussions, case studies, and hands-on scenarios designed to deepen your understanding and increase knowledge retention.
FINRA Category: Conferences and Events
Add to Calendar: https://www.finra.org/calendar/ical/381121/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar