Highlights From The Finra 2018 Regulatory And Examination Priorities Letter
FINRA released its annual list of Regulatory and Examination Priorities for 2018. FINRA will continue its focus on high-risk and recidivist brokers in terms of rulemaking initiatives and examinations. This year’s priority includes strengthening the current operation, while becoming more efficient. The focus on senior and unsophisticated investors, which was highlighted in years past,…
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