Robert W. Cook

FINRA´s Regulatory and Examination Priorities 2017

Date:

FINRA´s Regulatory and Examination Priorities 2017
Foto: Mariya Chorna . Prioridades regulatorias y de supervisión de FINRA para 2017

Author: Fórmate a Fondo

  1. Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs
  2. Most of the topics addressed in this year’s letter have been highlighted in prior years, but specific areas of emphasis have been updated or modified
  3. "Starting this year, we will publish a summary report that outlines key findings from examinations in selected areas"