Priorities Letter Outlines Areas of Focus
Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities for the coming year, highlighting both new and continuing areas of focus. In this post, experts from Venable LLP provide an overview of the most significant areas addressed in the 2018 letter.
with co-authors D. E. (Ed) Wilson, Jr., Andrew E. Bigart and Charles B. Alvis
In January, FINRA released its annual Regulatory and Examinations Priorities Letter. As with prior editions, the letter explains the areas of risk…
