FS Chatroom | Broker Dealers – 2021 FINRA Priorities and Registered Investment Advisors – latest from the SEC Division of Examinations

March 31, 2021

Description

Tune in and listen to Barry Goodman and Stephen Strombelline as they discuss FINRA priorities for 2021 and what that means for broker dealers.


DISCLAIMER:  All information shared on this podcast extends from reputable sources. The views expressed here are meant to serve as suggestive guidance, based on the knowledge and expertise of the host and guests.  

Speakers:
Barry Goodman | Email: Barry.Goodman@MazarsUSA.com
Stephen Strombelline| Email: Stephen.Strombelline@capitalforensics.com

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