FINRA’s Examination Priorities and Enforcement Initiatives: Analysis and Predictions
The Financial Industry Regulatory Authority (FINRA) recently issued its annual Regulatory and Examination Priorities Letter, which addresses several broad policy issues they believe should be key points of emphasis for member firms in 2017. What are these points and how will they affect your business?
Please join Foley attorneys Dean Jeske, Allison Charney, and Joe Edmondson for an in-depth webinar that takes a closer look at the following topics:
Examining FINRA’s 2017 Exam Priorities Letter: What’s new? What are the biggest risks?
Learning the hidden nuances that could prove invaluable to your exam preparation
Discovering what the key enforcement trends in 2017 are, and what can you take away for the coming year