FINRA Priorities And FINRA Results

Law360, New York (March 17, 2010, 10:04 AM EDT) -- On March 1, 2010, the Financial Industry Regulatory Authority published its examination priorities letter for the coming year.[1] This year’s letter is 16 pages long and covers not only examination priorities, but also new developments, and areas of heightened importance to FINRA’s Department of Enforcement.

For several years FINRA has been sending a letter to all of its member firms outlining FINRA’s examination priorities. Starting in 2008, FINRA published the letter on its Communications to Firms Web site.

The 2010 letter notes that FINRA’s examination program...
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