On January 4, new President and CEO Richard Cook issued FINRA’s Annual Regulatory and Examination Priorities Letter. This year’s list in summary is: New for 2017: Targeted electronic off-site reviews “on select firms not scheduled for cycle… By: Burr & Forman
Article Link: http://www.jdsupra.com/legalnews/finra-s-2017-regulatory-exam-priorities-49169/