FINRA 101: How to Understand and Navigate FINRA's Structure and Powers

The Financial Industry Regulatory Authority ("FINRA") is a self-regulatory agency for broker-dealers overseen by the Securities and Exchange Commission. This 60-minute course is an introduction to understanding FINRA's structure and investigative and charging powers. The course will also provide background on recent litigation questioning FINRA's authority.

Learning Objectives:

1. Explore FINRA's Mission and Powers: Understand the purpose and scope of FINRA's authority.
2. Examine FINRA's Rules: Review key regulatory frameworks and how they apply to member firms and individuals.
3. Navigate the Investigative Process: Learn about Rule 8210 requests and analyze the role and impact of On-the-Record (OTR) testimony
4. Understand Charging and Settlements: Apply the FINRA Sanction Guidelines and break down the Pre-Wells and Wells Processes
   
5. Review Acceptance, Waiver, and Consent (AWC) agreements
6. Delve into Litigation: Define FINRA's jurisdiction and authority and evaluate recent challenges to jurisdiction and enforcement powers