FINRA Recently Announced Their 2016 Regulatory & Examination Priorities

FINRA recently published its 11th annual Regulatory and Examination Priorities Letter to highlight both emerging and existing risks that could adversely affect investors and market integrity in 2016, if not properly addressed.

They reported that issues that they highlighted in last year remain a concern for them in 2016.

To learn more about the publication, click here.

To read and download the PDF of the letter, click here.