Posts tagged FINRA’s 2017 Regulatory & Exam Priorities.
On January 4, new President and CEO Richard Cook issued FINRA's Annual Regulatory and Examination Priorities Letter. This year's list in summary is:
New for 2017:
Targeted electronic off-site reviews "on select firms not scheduled for cycle exams."
An annual summary report of key exam findings on selected issues
More resources for small firms, including:
- Compliance calendar;
- Compliance service provide directory.
High-Risk / Recidivist Brokers
Dedicated exam group
Supervisory procedures and due-diligence
Branch inspections
Sales Practices
Seniors: fraud and abuse; ...
Posted in: FINRA
Tags: burr and forman, burr forman, finra, FINRA’s 2017 Regulatory & Exam Priorities, Regulatory and Examination Priorities Letter, Richard Cook, securities litigation, Securities Litigation & Arbitration