Assessing FINRA's Priorities And Results

Law360, New York (March 9, 2012, 3:14 PM EST) -- There are two basic sources of information about the Financial Industry Regulatory Authority’s examination and enforcement priorities. The first source is FINRA’s annual examination priorities letter. The second source is the information FINRA makes public about its disciplinary actions.

The Priorities: The Examinations Priorities Letter

On Feb. 1, 2012, FINRA published its examination priorities letter for the coming year. This year’s letter is 16 pages long and lays out 26 examination priorities.

The first priority listed is “Business Conduct and Sales Practice Concerns for Retail Customers.”...
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