10 Highlights From FINRA’s 2018 Priorities Letter

Law360 (February 6, 2018, 10:37 AM EST) -- The Financial Industry Regulatory Authority has published its annual regulatory and examination priorities letter for 2018.[1] The 2018 letter provides guidance to firms, firm leadership, and those individuals charged with the responsibility of directing the firms’ compliance, supervision, and risk management programs. The letter is a road map to areas on which FINRA will focus during examinations and other regulatory reviews in the coming year. Every year, firms and those who advise them comb through the annual letter to use the information to assess the strength and breadth of their own, or their clients’, programs with respect to the issues that FINRA...

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