FINRA 2010 Field Examinations: What To Expect

Law360, New York (May 28, 2010, 12:31 PM EDT) -- In keeping with our practice of analyzing FINRA-announced priorities for its annual cycles of field examinations of member firms, the following summary of FINRA’s March 1, 2010, release (the “Release”) describes the concerns and areas of concentration which FINRA intends to incorporate in this year’s field examinations. Not surprisingly, a number of the concerns appear to be prompted by recent financial services industry scandals such as the Bernard Madoff and Allen Stanford frauds, while the increased number of topics seems intended to demonstrate a more rigorous...
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