FINRA 2018 Regulatory and Examination Priorities Letter
The 2018 Regulatory and Examination Priorities Letter is an affirmation that the coming year will bring both continuity and change in FINRA’s regulatory programs. The continuity comes, first in the commitment of FINRA to their stated mission: protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets. The Priorities Letter speaks to … Continue reading FINRA 2018 Regulatory and Examination Priorities Letter