Breakout 5B – Regulatory Exams and Investigations

This session will compare and contrast jurisdictional boundaries and review how the SEC, FINRA, DOL and state securities agencies conduct exams and investigations, with a focus on resolving any findings/violations in order to best position your firm to deal with the next regulator that knocks on your door.

Learning Objectives:

  • Understanding jurisdictional boundaries of the SEC, FINRA, DOL and states
  • Discussing current areas of exam and investigative focus
  • Responding to information requests and handling employee interviews
  • Resolving findings and violations both during and after the exam/investigation