Posts tagged Richard Cook.
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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 & Arbitrarion blog, Securities Litigation & Arbitration
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