Day

January 29, 2019

29 January 2019

FINRA Issues Its 2019 Risk Monitoring and Examination Priorities Letter

On January 17, the Financial Industry Regulatory Authority (FINRA) released its annual Risk Monitoring and Examination Priorities Letter (Letter), which identifies topics that FINRA will focus on in 2019. Unlike in previous years, this Letter primarily discusses new topics and priorities in areas of ongoing concern while not repeating topics … Read More

EmailShare
XSLT Plugin by BMI Calculator