Each year, financial services industry regulators produce what are generally known as Exam Priorities. In this podcast episode, our Compliance experts review FINRA’s exam priorities - what’s new along with the highlights you should be aware of. This annual report is a helpful tool to identify what FINRA is seeing during their examinations and what areas FINRA will be focusing on in the coming year. Learn how broker-dealers can use this tool to assess their supervisory system and make sure it is addressing the areas on which FINRA will be focusing.
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