Speaking Engagement Recap
May 13, 2021
Latest Continuing Education (CE) Requirements: A Comprehensive Guide for FINRA-Registered Practitioners
A go-to adviser for the industry, partner Tracey Salmon-Smith took financial services executives, attorneys and consultants on a deep dive of FINRA Rules 1210 and 1240 as part of a virtual panel for The Knowledge Group. The immersive presentation covered current rule requirements, the practical effects of proposed continuing education amendments as well as best practices for compliance, among other critical tips.