Webinar Description

In our upcoming webinar, “2026 FINRA & SEC Exam Priorities: Where Compliance Should Focus,” we’ll break down FINRA and the SEC’s 2026 Exam Priorities. This webinar will equip CCOs of investment advisers and broker-dealers with practical strategies to navigate upcoming regulatory exams successfully.

Some Topics Include: 

• Regulation S-P
• Books & Records
• Artificial Intelligence
• Capital Formation
• AML & Senior Investors
• Marketing Rule

Join us on February 10, 2026, at 12:00 PM CT for this informative discussion.