FINRA Releases 2018 Regulatory, Exam Priorities
January 08, 2018
January 08, 2018
WASHINGTON, Jan. 8 -- The Financial Industry Regulatory Authority issued the following news release:
The Financial Industry Regulatory Authority (FINRA) today released its 2018 Regulatory and Examination Priorities Letter, highlighting topics that FINRA will focus on in the coming year, including new and ongoing areas of focus.
The Priorities Letter - alongside FINRA's 2017 Examination Findings Report - serves as a resource for broker-dealers to enhance their compl . . .
The Financial Industry Regulatory Authority (FINRA) today released its 2018 Regulatory and Examination Priorities Letter, highlighting topics that FINRA will focus on in the coming year, including new and ongoing areas of focus.
The Priorities Letter - alongside FINRA's 2017 Examination Findings Report - serves as a resource for broker-dealers to enhance their compl . . .