FINRA Releases 2017 Regulatory and Examination Priorities

The Financial Industry Regulatory Authority (“FINRA”) published its annual Regulatory and Examination Priorities letter, concentrating on specific areas of focus within five broad areas – high-risk and recidivist brokers, sales practices, financial risks, operational risks, and market integrity. Broad Issues of Focus High-Risk and Recidivist Brokers FINRA will pay particular attention to firms’ hiring and supervision of high-risk and recidivist…

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