Peter B. King Speaks to Financial Services Institute Members
Peter B. King recently spoke to Financial Services Institute members during a June 18 webinar. The webinar titled, FINRA’s New Consolidated Supervision Rules: A Look at What’s New, and Tips for Mitigating Risk
for Broker/Dealers, outlined important new provisions of the new FINRA consolidated supervision rules Rule 3110 (Supervision) and Rule 3120 (Supervisory Control System), and discussed best practices to help broker/dealers implement the new rules and mitigate their risk.