By Peter LaVigne, Goodwin Procter LLP (February 1, 2017, 10:57 AM EST) -- On Jan. 4, 2017, the Financial Industry Regulatory Authority issued its 2017 Annual Regulatory and Examination Priorities Letter. These letters serve a valuable purpose for both FINRA and its member firms. FINRA is able to get out the word about compliance issues it considers the most important or problematic in a more public way than would be possible educating firms examination by examination or through the enforcement process. Compliance officers get a window into what FINRA is thinking and a chance to remedy deficiencies before the examiners come calling. The U.S. Securities and Exchange Commission's Office of Compliance Inspections also issues an annual statement of priorities for similar reasons, although its priorities encompass a wider range of regulated persons, including brokers, investment advisers, investment companies and FINRA itself. The SEC's 2017 priorities were published on Jan. 12....
Law360 is on it, so you are, too.
A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.
