Assessing FINRA Priorities And Results

Law360, New York (February 23, 2011, 2:36 PM EST) -- The Financial Industry Regulatory Authority's latest examinations priority letter and its published disciplinary actions provide useful insights into the self-regulatory agency’s priorities. On Feb. 8, 2011, FINRA published its examination priorities letter for the coming year.[1]

This year’s letter is 13 pages long and covers not only examination priorities but also new developments and areas of heightened importance to FINRA’s Departments of Member Regulation, Market Regulation, Enforcement and Office of Fraud Detection and Market Intelligence.

FINRA’s examination program continues to be “risk-based,” adjusting the scope, content,...
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