22 min listen
What to Expect: CE Transformation & Maintaining Qualifications Program
FromFINRA Unscripted
ratings:
Length:
26 minutes
Released:
Jan 11, 2022
Format:
Podcast episode
Description
In 2020, FINRA and the CE Council embarked on the biggest transformation of the continuing education program in 25 years. And in the months ahead, those major changes are going into effect. On this episode, we hear from Patricia Monterosso of FINRA's Credentialing, Registration, Education and Disclosure team and Elizabeth Hansen, the 2021 CE Council Chair, about what firms and reps can expect and why these changes will have such a big impact. How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:CE Council WebsiteKey Topics: Continuing EducationRegulatory Notice 20-05Regulatory Notice 21-41Maintaining Qualifications ProgramFinancial Professional Gateway (FinPro)Episode 54: Enhancing Industry Continuing EducationSmall Firm Conference Call: CE Transformation
Released:
Jan 11, 2022
Format:
Podcast episode
Titles in the series (100)
How the Cloud and Machine Learning Have Transformed Market Surveillance: In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and Transparency Services, Tom Gira, to hear how the cloud and machine learning enable his team to more efficiently and effectively sift through this massive amount of data to detect misconduct. by FINRA Unscripted