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https://www.fundssociety.com/wp-content/uploads/2017/01/10330864925_60a4170ed9_z.jpg640426Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s regulatory programs. In this year´s letter, Robert W. Cook, President and CEO, provides information about areas FINRA plans to review in its 2017 exams based on observations from its regulatory programs as well as input from various…Continuar leyendo