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Expert Analysis

Key Takeaways From FINRA's 2016 Priorities Letter

Law360, New York (January 26, 2016, 10:38 AM EST) -- On Jan. 5, 2016, in an annual tradition, the Financial Industry Regulatory Authority issued its 2016 Regulatory and Examination Priorities Letter. The publication of a list of regulatory and examination priorities for the next year is part of an effort by FINRA, similar to that of the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations, to educate and prepare brokers in advance of examinations, rather than to merely play "gotcha!" In addition to announcing broad categories of new priorities for 2016 in the letter, FINRA also emphasized many other areas of focus, several of which are described below in greater detail....

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