Day

January 13, 2016

13 January 2016

Financial Industry Regulatory Authority 2016 Exam Priorities

On January 5, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to highlight risks that FINRA believes could adversely affect investors and market integrity. This year’s Letter differs from those in the past in focusing on three broad, principle-based concerns in addition to … Read More

EmailShare
XSLT Plugin by BMI Calculator