Member Firm Education and Resources
In an effort to continue to provide member firms with top-quality compliance and regulatory educational content, self-service tools and other resources, FINRA is seeking your feedback.
1.
What topics would you like to see more education, tools and/or resources focused on?
Communications and Sales (e.g. Reg BI and Form CRS, Private Placements, Annuities Securities)
Crypto Asset Securities
Financial Crimes Prevention (e.g. Cybersecurity, Anti-Money Laundering, Preventing Account Intrusions, etc.)
Financial Management (e.g. Net Capital, Liquidity Risk Management, etc.)
Firm Operations (e.g. Third-Party Risk Landscape, Technology Management, Books and Records, etc.)
Market Integrity (e.g. Extended Hours Trading, Consolidated Audit Trail (CAT), Fixed Income, etc.)
Registration and Continuing Education
Other (please specify)
2.
Which of the following are the most useful and effective for you, personally?
In-person conferences
Virtual conference participation
Live webinars
On-Demand trainings/education
Classroom style learning
Self-service tools (e.g. reference guides, templates, checklists)
Networking/Sharing with others
Other (please specify)
3.
Do you have any additional feedback or are there other types of education, tools, or resources FINRA could provide that would help reduce any burdens and facilitate compliance with new or existing rules?
4.
If you are with a member firm, what is your firm grouping?
Capital Markets and Investment Banking
Clearing and Carrying
Diversified
Retail
Trading and Execution
Don't know / Not with a member firm
5.
If you are with a member firm, what is your firm size?
Small (1-10)
Small (11-75)
Small (76-150)
Medium
Large
Don't know / Not with a member firm
