On January 4 and January 12, 2017, respectively, the Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) each published its 2017 regulatory… By: K&L Gates LLP
Article Link: http://www.jdsupra.com/legalnews/ocie-and-finra-announce-2017-16846/