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FINRA 2018 Priorities

Posted on January 8, 2018 at 8:10 PM

Check out my article in LinkedIn on FINRA's newly released 2018 Exam Priorities Letter and 2017 Examination Findings Report. Both serve as a resource for broker-dealers to enhance their compliance, supervisory and risk management programs and to prepare for their FINRA examinations.

Read More:

Article
https/www.linkedin.com/pulse/finra-2018-priorities-patty-tehrani/

2018 FINRA Examination Priorities Letter

http/www.finra.org/sites/default/files/2018-regulatory-and-examination-priorities-letter.pdf

2017 FINRA Examination Findings Report

https/www.finra.org/sites/default/files/2017-Report-FINRA-Examination-Findings.pdf


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