FINRA Releases 2017 Regulatory and Examination Priorities Letter

FINRA has released its Regulatory and Examination Priorities Letter  for 2017. The letter provides information about areas FINRA plans to review in its 2017 exams based on observations from its regulatory programs as well as input member firms, other regulators and investor advocates.The annual letter is a must read for all broker-dealers,supervisors and financial advisors, as it provides useful insight into current regulatory issues, and a framework to review your own procedures.

Need help? Want to discuss these issues? I have been representing broker-dealers for decades, and my partner are former SEC attorneys. Give me a call – 973-559-5566.

Source: The Securities Law Blog: FINRA Releases 2017 Regulatory and Examination Priorities Letter